Job Opening

RIA Chief Compliance Officer
Firm is a Hybrid RIA that is NJ-based offering a variety of asset management, investment advisory, insurance, financial planning, and other financial services. There is an affiliated broker dealer too.
Firm is recruiting a compliance professional who is familiar with the Investment Advisers Act of 1940, solicitor and sub-advisory arrangements, FINRA sales & advertising requirements and the supervision of registered reps and investment advisor representatives. This individual will be part of a collaborative team supporting Firm's various risk and compliance needs and will report directly to the Executive VP/COO.

* Support regular compliance testing and monitoring of policies and procedures and conduct quality control assessments relating to internal controls are met;

* Complete preparation of periodic compliance reviews, including personal securities, gifts and entertainment reports and annual attestations;

* Supports remediation efforts of compliance and reporting deficiencies and prepare written policies and procedures to address deficiencies;

* Be primary contact for and manage the firm's data through the IARD systems;

* Review promotional and marketing materials, pursuant to SEC, FINRA and other applicable regulations;

* Provide timely and clear guidance to other departments;

* Assist in ongoing compliance training of employees and orientation for new hires;

* Coordinate and communicate with outside compliance consulting team;

* Coordinate with different departments and team members to help ensure all required regulatory (form) filings are completed on a timely basis and updated as necessary, including the Form ADV, U-4s and Form 13-F, 13-G & 13-H;

* Serve as a liaison between the firm and industry regulators in connection with on-site examinations and ad-hoc inquiries;

* Research, understand and maintain compliance with Investment Advisers Act of 1940, Investment Company Act of 1940 and related SEC regulations & guidance; Department of Treasury AML regulations; and industry best practices; and

* Assist with other RIA related regulatory reporting and services

* Supervision of employees

* Assist in recruiting
Education & Experience

* Bachelor's degree required;
Series 7, 63, 65, (or 66), 24 or ability to obtain them

* At least 5 years prior work experience with an investment adviser (preferably SEC registered), compliance consulting firm, audit firm or bank;

* Working knowledge of DOL regulations and ERISA a plus;

* Experience with RIA related compliance or risk programs;

* Proficient in Word, Excel, PowerPoint, Adobe.
Required Skills/Characteristics

* Strong organizational skills with the ability to set, organize and meet priorities;

* Experience identifying compliance issues and operational risk concepts;

* Familiarity with SEC rules and regulations applicable to investment advisers;

* Excellent verbal and written communication skills with particular attention to detail;

* Ability to work independently as well as with others in small team, energetic environment;

* Experience working with corporate documentation; and

* Ability to work effectively with all levels of management within the company and promptly resolve issues or recommend improvements in a positive manner.

* Salary commensurate with experience

* Bonus

* Medical Insurance

* Long Term Disability

* 401(k) Profit Sharing Plan

* Paid Vacation and Holidays
Please send your resume and compensation requirements to

Carl Ayers
Publisher, Regulatory Compliance Watch
Two Washingtonian Center
9737 Washingtonian Blvd., Suite 502
Gaithersburg, MD 20878
Link to me via LinkedIN
Fax: 301-287-2121
Our Video Channel:
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