Lead impactful compliance initiatives in a dynamic investment management environment. Collaborate with senior leadership to enhance regulatory adherence and operational excellence. Gain expertise in diverse compliance functions and frameworks.
Ria Compliance Officer
in Financial Services PermanentJob Detail
Job Description
Overview
- Serve as a compliance officer for an SEC-registered investment adviser, ensuring adherence to regulatory requirements and firm policies.
- Collaborate with senior management to implement and maintain a robust compliance program aligned with industry standards.
- Provide expertise in regulatory filings, compliance reviews, and policy testing to mitigate risks.
- Deliver compliance training and onboarding procedures to reinforce organizational compliance culture.
- Coordinate AML/KYC verifications for clients and counterparties across multiple jurisdictions.
- Support regulatory examinations and audits, ensuring thorough preparation and adherence to requirements.
- Review marketing materials and client communications to ensure compliance with regulatory standards.
- Monitor personal trading and electronic communications to uphold the firm’s Code of Ethics.
Key Responsibilities & Duties
- Implement and maintain compliance policies, procedures, and certifications in line with SEC regulations.
- Prepare and file regulatory documents, including Form ADV, Form PF, and Form D.
- Conduct compliance reviews and testing to ensure adherence to industry developments.
- Coordinate AML/KYC verifications for clients and counterparties across jurisdictions.
- Support regulatory examinations and audits, providing necessary documentation and expertise.
- Deliver compliance training and onboarding procedures for new employees.
- Monitor personal trading and electronic communications to ensure compliance with the firm’s Code of Ethics.
- Collaborate with senior management to integrate compliance requirements into organizational workflows.
Job Requirements
- Bachelor’s degree required; JD preferred but not mandatory.
- 8-10 years of relevant compliance experience in the investment management industry.
- Strong understanding of U.S. regulatory frameworks and investment adviser operations.
- Proficiency in compliance surveillance tools such as Bloomberg and ComplySci.
- Excellent written and verbal communication skills and attention to detail.
- Ability to work independently and collaboratively across all organizational levels.
- Proficiency in Microsoft Suite, including Excel, Word, and PowerPoint.
- Experience in regulatory filings, compliance reviews, and policy testing.
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