Compliance Manager, Investment Advisory

• Job Description

Who They Are

Our client isn’t just an investment management firm; they’re architects of the future, managing over $200B in Assets under Management with a commitment beyond profits. Due to the organization’s growth, they seek an exceptional individual to join their Investment Advisory Compliance team to support the Firm’s compliance program regarding its regulatory, contractual, and compliance requirements associated with its activities as a registered investment adviser.

This is an excellent opportunity offering the chance to shape the compliance landscape of a leading organization while growing your career in an evolving regulatory environment.

What You Will Do

In this AVP-level role, you will focus on administering their compliance risk monitoring program, which includes reviewing policies and procedures, conducting forensic testing and monitoring of controls, and implementing action plans. Your responsibilities will also include tracking regulatory updates and implementing changes to comply with new and amended regulations, facilitating the independent annual compliance review and other internal and external audits,

Specific Responsibilities include:

• Administer the Compliance Risk Monitoring Program, including testing and recommending enhancements to internal controls.
  Ensure compliance with the Investment Advisers Act of 1940, Rule 206(4)-7, federal securities law, and other relevant regulations.
• Lead staff in monitoring employee conduct policies (e.g., personal trading, gifts, and political contributions).
• Drafting and implementing procedures for compliance monitoring.
• Continuously refining compliance policies to meet evolving regulations.
• Provide guidance on regulatory filings, client onboarding, and policy maintenance. Including Form ADV and Form PF.
• Drive compliance training and maintain vendor relationships to optimize tools and processes.
• Serve as a compliance liaison for various initiatives.
• Manage conflicts of interest and oversee audits and regulatory filings.

What They Need

• Minimum 7+ years of compliance experience in a registered investment adviser setting, focusing on testing and risk assessments.
• In-depth knowledge of the Investment Advisers Act of 1940 and securities laws.
• Series 7 & 24 licenses a plus
• Proven ability to manage and develop teams in a fast-paced environment.
• Exceptional skills in influencing stakeholders and articulating complex issues effectively.
• Proven ability to multitask and prioritize in a fast-paced environment.
• Strong analytical and research abilities.
• Advanced proficiency in MS Office, especially Excel and PowerPoint.

What They Offer

Career Progression: Opportunity to grow, learn, and lead within an innovative atmosphere.
Work-Life Balance: Enjoy their hybrid work model with remote work flexibility.
Generous Benefits Package: premium medical, paid time off, retirement profit sharing, wellness reimbursement, comprehensive parental leave, family planning support, paid primary care membership, mental wellness benefits,
Salary & Incentives: $165,000 – $180,000 base salary (DOE) with opportunities for a discretionary annual bonus

If you are ready to elevate your career and become an integral part of a company where your contributions directly impact its success, Apply Now!