Madison-Davis
EXTERNAL CLIENT ROLE
The successful candidate will be a high-energy, team-oriented, collaborative individual who supports the compliance needs of the firm and their Investment Advisers. Must be able to successfully operate as a hands-on contributor in a fast-paced, team-oriented, and deadline-sensitive environment.
Essential Duties & Responsibilities:
- Review client accounts for adherence to the stated investment policy statement
- Review and approve Investment Adviser marketing materials and sales literature
- Assist with annual compliance program review and testing
- Train firm employees and Investment Advisers about policies, procedures, and applicable federal securities laws
- Perform periodic branch office inspections
- Conduct initial and ongoing sub-advisor due diligence
- Maintain and update the firm compliance manual and disclosure brochures
- Keep up-to-date with regulatory changes and updates
- Assist with other duties and projects, as assigned
Job Requirements:
- 2-10 years experience
- Bachelor’s degree in Finance or related field from a four-year college
- Strong understanding of the Investment Advisers Act of 1940
- Securities Licenses: Series 65 or 66
- Experience in Investment Adviser compliance and supervision
- Ability to work as part of a team but maintain a proactive, independent approach
- Detail-oriented with strong decision-making and analytical skills
- Strong interpersonal, oral, and written communication skills
- Proficient with Microsoft Office suite (Word, Excel, PowerPoint, Outlook)
- Occasional travel required to conduct branch audits