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We have been hired to identify an individual to be our client’s Investment Advisory Compliance Officer. Our client is a leading, middle-market brokerage firm that emphasizes their debt, equity and investment banking services to a wide array of industry clients utilizing a strong distribution network through the institutional and private client groups. This firm is known for their exceptional leadership, resource rich platform, excellent culture and commitment to growth.
Opportunity: Candidate will support the Chief Compliance Officers in all aspects of the compliance programs and internal controls as they relate to asset management and investment advisory services. This individual will work closely with business line managers, risk, marketing, operations, sales support, supervision, regulators, and internal and external auditors, as needed. Candidate will manage and implement the investment advisory (IA) compliance programs, including facilitating the risk assessment and annual compliance reviews, assisting with the preparation of the annual review reports, establishing and implementing investment advisory compliance and surveillance processes, testing, and consulting with firms’ personnel where appropriate. Candidate will be responsible for maintaining and enhancing investment advisory policies, procedures and disclosures, including various attestations, the Code of Ethics and WRAP program guidelines; research compliance deficiencies and assist in developing and implementing corrective actions. Candidate will provide support with respect to regulatory issues and filings; coordinate with various departments to prepare and file regulatory forms/reports and assist in the role of firm liaison to securities regulatory agencies.
Qualifications: Candidate must possess significant knowledge of concepts, practices and procedures of the securities industry, particularly the investment advisory business with a primary focus on WRAP programs within dually-licensed broker-dealer/registered investment advisers. Candidate will possess leadership training and experience. Candidate should be proficient in computer skills, including word processing and spreadsheets (Word, Excel, and Outlook); experience with industry-specific applications and programs a plus. Successful completion of Series 7, Series 9/10 or Series 24, Series 63 and 65, or combined Series 66 license, required. Bachelor’s Degree in Finance, Accounting or Business-related field; or equivalent securities industry experience. Five to seven years of compliance experience preferred.