Compliance Officer - Investment Advisory

This Jobot Job is hosted by: Dawit DemozAre you a fit? Easy Apply now by clicking the "Quick Apply" buttonand sending us your resume.Salary: $120,000 - $135,000 per year

A bit about us:

We are a global financial services organization delivering market access, risk management, trading, and advisory solutions across a diverse range of asset classes and industries. Our team partners with institutional, commercial, and individual clients to provide insights, technology, and execution capabilities that help navigate complex markets and drive informed decision-making.

With a strong focus on innovation, collaboration, and client service, we operate in a fast-paced environment where expertise, accountability, and problem-solving are highly valued. We are committed to fostering a culture of continuous growth, professional development, and operational excellence while empowering employees to make a meaningful impact.

Why join us?

Join a dynamic environment where you’ll contribute to a wide range of business-critical initiatives that help drive organizational success. From supporting strategic initiatives and operational improvements to enhancing internal processes and cross-functional collaboration, you’ll have the opportunity to make a meaningful impact, streamline workflows, and help implement solutions that improve overall business performance.

Job Details

Position Purpose:Senior Compliance Officer, Investment Advisor Services, reports directly to the Chief Compliance Officer (CCO). The successful candidate will support retail business lines across registered investment advisor (RIA) entities and affiliated financial services businesses. This individual will possess strong communication and writing skills, advanced proficiency in Microsoft Excel for data management and reporting, and the ability to manage multiple tasks in a dynamic environment.

Primary Accountabilities / Responsibilities:

Provide guidance and support to employees of RIA companies related to the Code of Ethics (COE), Written Supervisory Procedures (WSP), and related regulatory matters.Assist the CCO in coordinating the annual 206(4)-7 review, including drafting new or revised policies and procedures as needed.Perform recurring reporting routines supporting advisory compliance efforts, including the review of system reports, rules, and outputs to ensure compliance and supervisory requirements are addressed.Review supervisory activities related to advisory programs to ensure compliance with established guidelines.Assist in drafting, reviewing, and preparing the firm’s Disclosure Brochure(s) (Form ADV Part 2A).Facilitate regulatory filings on behalf of RIA companies and affiliated entities, including Form ADV Parts 1 and 2, 13F, N-PX, 13H, and other applicable filings.Assist in the review and approval of marketing materials and internal communications as necessary.Research and respond to regulatory requests as needed.Participate in additional compliance initiatives as assigned.Perform other duties relating to business operations and compliance needs as assigned.Support an affiliated registered broker-dealer as needed.Qualifications

Job Requirements:

Bachelor’s degree or equivalent financial industry or related compliance experience required.FINRA Series 7, 65 or 66, and 24 required. Series 14 and/or IACCP preferred.5+ years of compliance or related financial services industry experience preferred.Strong knowledge of the investment advisory / RIA business, including custody and trading operations, systems and interfaces, account setup, billing, and performance reporting.Knowledge of the Investment Advisers Act of 1940 and rules promulgated pursuant to the Act.Ability to apply industry-specific knowledge related to existing, proposed, and new regulations and assist in the development of appropriate policies and procedures.Knowledge of the Independent RIA and broker-dealer model.Strong analytical and problem-solving skills.Strong written and verbal communication skills.Advanced technical proficiency in MS Excel, with experience in MS Access and/or Power BI preferred.Previous experience with custodial/clearing and TAMP systems, including Envestnet and Advyzon, preferred.Strong time management skills and the ability to multitask in a dynamic, time-sensitive environment.Ability to build positive and productive relationships with business line partners.Ability to lead/direct others and delegate in a professional and ethical manner.

Interested in hearing more? Easy Apply now by clicking the "Quick Apply" button.

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