Compliance Officer

About This Role

This Compliance Officer role involves independently managing daily compliance operations for a registered investment advisor within a leading wealth management platform. The position requires enhancing regulatory infrastructure and plays a key role in ensuring the firm's adherence to compliance standards.

Responsibilities

• Review and disposition daily escalations resulting from surveillance, supervision, monitoring, and marketing
• Maintain ongoing compliance tasks, including Code of Ethics certifications and forensic testing for the annual compliance review
• Draft Form ADV and Form 13F filings
• Support updates to compliance manuals, Codes of Ethics, and Privacy Policy
• Work closely with internal teams to resolve concerns and foster effective communication for timely and accurate financial reporting
• Assist in the coordination of regulatory exams, compiling supporting documentation and responding to regulator inquiries
• Participate in or lead special projects, including process enhancements, system implementations, and ad hoc compliance analysis

Requirements

• 4+ years' compliance or finance experience
• Direct knowledge of SEC Registered Investment Advisor compliance practices
• Ability to prioritize and manage work processes/projects efficiently
• Strong critical thinking skills
• Excellent communication and writing skills

Qualifications

• Bachelor’s degree or other related work experience
• 4+ years' compliance or finance experience required, with experience in a high-paced environment

Nice to Have

• Juris Doctor
• Previous securities or related industry experience

Benefits