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.
Responsibilities:

* 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.
Compensation

* 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 info@rcsi-group.com.

Carl Ayers
Publisher, Regulatory Compliance Watch
Two Washingtonian Center
9737 Washingtonian Blvd., Suite 502
Gaithersburg, MD 20878
Link to me via LinkedIN
301-287-2435
Fax: 301-287-2121
http://www.regcompliancewatch.com/Home/Info/CAyers
cayers@regcompliancewatch.com
http://www.regcompliancewatch.com/
Our Video Channel: http://www.regcompliancewatch.com/Home/Info/Videos
Sign In or Register to comment.