Senior Compliance Officer

Exciting Opportunity for a Senior Compliance Officer!

Are you a compliance aficionado who thrives on enhancing and perfecting compliance practices? We are in search of a committed Senior Compliance Officer with expertise in compliance testing for broker-dealers and RIAs and a genuine passion for all things compliance.

What We Require:

Experience: Demonstrated track record in conducting compliance testing for broker-dealers and RIAs. Passion: A true love for compliance and a motivation to enhance our compliance program.

Professionalism: Maintaining high work standards, both independently and when working with colleagues. Skills: Capable of communicating effectively, executing tasks proficiently, and achieving outstanding outcomes. If you are a detail-oriented professional who thrives behind the scenes but can step up when necessary, we are eager to connect with you! Join our team and contribute to the compliance landscape.

Apply now!

The successful candidate will:

• Manage compliance programs for clients
• Provide clients with guidance regarding best practices
• Handle amendments to Form ADV and other IARD/CRD filings (e.g U4, U5) and Edgar-based filings (e.g. 13F, 13 H)
• Work with regulators to achieve registration for RIAs and, as needed, their advisory personnel
• Review disciplinary matters to ensure that DRPs (Disclosure Reporting Pages) contain proper disclosure
• Assist with the RIA annual updating amendment/renewal process
• Coordinate with colleagues (including those in client-facing roles) and directly with RIA and BD clients (as needed)
• Conduct RIA and BD compliance tasks and testing- best execution review, trading review, billing review, email review, advertising review, social media review, testing archiving, auditing books and records, branch office reviews, risk assessments, etc.
• Drafts compliance manuals, code of ethics, business continuity plans, and cybersecurity policies and can review and analyze them for required updating
• Adequately compiles and organizes materials, and compiles relevant documents in databases and network drives to maintain an accessible file
• Keep up with new and emerging regulation
• Performs other duties and projects as needed

• Comprehensive prior proficiency in Form ADV and other legal documents
• Someone with a profound enthusiasm for customer service and devotedness to being timely when it comes to client needs
• A passion for working in a fast-paced, small company setting
• A way of problem-solving
• Previous experience in RIA and BD regulatory firms, law firms or NASAA
• Stellar written, organizational, and follow-up talents
• At least ten to fifteen years of working for an RIA, BD or law firm that caters to RIAs and BDs
• Exceptional attention to detail and capacity to analyze data, identify patterns, and escalate matters as needed
• Demonstrated critical thinking authority and fascination
• Superb independent follow-up proficiency
• Outstanding ability to manage time and multitask efficiently
• Exceptional penmanship and verbal aptitude for different business circles
• A customer service-oriented mindset
• Keen to meet or exceed expectations without fail
• FINRA licenses required (7, 24, 53)