Buy Side Compliance

Duties:

• Regulatory Compliance: Oversee and ensure adherence to the 1940 Act, including the preparation and filing of Form ADV and other related documentation.
• Annual Compliance Review: Assist in conducting the annual compliance review and prepare reports on policies and procedures.
• Policy Development: Develop, review, and update compliance policies and procedures to align with regulatory requirements.
• Employee Training: Support compliance training initiatives for employees, including onboarding new hires.
• Examination Coordination: Facilitate the preparation and coordination of information for SEC and NFA examinations.
• Regulatory Filings: Assist in preparing and submitting regulatory filings, including Form PF-PQR and other state and federal filings, as well as SOC and annual audit requests.
• Policy Back-Testing: Conduct periodic back-testing of compliance policies, such as the Allocation Policy, Valuation Policy, Code of Ethics, and Compliance Manual.
• AML Diligence: Perform required annual diligence on the administrator’s anti-money laundering procedures.
• Meeting Documentation: Prepare and maintain minutes for committee and board meetings.
• Compliance Surveillance: Assist in compliance surveillance activities, including email monitoring, political contributions preclearances, and personal trading preclearances.
• Special Projects: Lead or support special projects as needed, contributing to the overall effectiveness of the compliance program.

Requirements:

• 3-5 years of direct RIA experience

• Demonstrated understanding of the Investment Advisors Act of 1940

• Experience in various types of RIA business lines a plus

• Solid analytical and research skills

• Bachelor’s degree in related field

• Excellent communication skills, writing, skills, interpersonal skills, and a strong presence

• Strong attention to detail

• Highly organized

• Adaptable personality (to work closely with a highly diverse client base)

• Position open to candidates residing anywhere in the U.S.

• Some travel may be required

• Broker-dealer compliance experience a plus