Lead impactful compliance initiatives at a prominent investment management firm. Shape regulatory adherence strategies and enhance operational excellence. Gain expertise in diverse compliance functions and frameworks while collaborating with senior leadership.
Ria Compliance Officer
in Financial Services PermanentJob Detail
Job Description
Overview
- Serve as a compliance officer for a leading investment management firm, ensuring adherence to regulatory requirements and organizational policies.
- Collaborate with senior leadership to design and implement a robust compliance program aligned with industry standards.
- Provide expertise in regulatory filings, compliance reviews, and policy testing to mitigate risks effectively.
- Deliver comprehensive compliance training and onboarding to reinforce a strong 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
- Develop 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 evolving industry standards.
- 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 to ensure awareness of regulatory requirements.
- 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 effectively.
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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