Overview

A top private bank, high-net-worth and investment management firm seeks an experienced Compliance professional.

Here’s a little background

The Compliance Officer will provide advice and guidance to business partners regarding  rules and regulations, advice on policies, procedures and controls, compliance monitoring and assistance with supervisory reviews in order to ensure compliance with all federal and state securities laws and regulations. 

The general purpose of this position is to support the administration, development and execution of the investment and wealth management Compliance program. This role will focus on conducting risk assessments across the business, advising business clients on regulations and related compliance policies, and assisting in the general administration of the compliance program.

 What you’ll do:

  • Assist in the maintenance and development of compliance policies and procedures
  • Proactively identify and champion opportunities to improve compliance efficiencies and minimize risks
  • Perform risk assessments and mock exams across the firm to identify gaps and strengthen controls
  • Assist in reviewing Marketing Materials for compliance approval
  • Help develop training materials and presentations
  • Perform general compliance projects and tasks
  • Perform research on ad hoc compliance policies and regulations

You could be a great fit if you have:

  • Compliance, operational and risk understanding of the investment advisory and investment company business.
  • Strong working knowledge of the Investment Advisor Act, Investment Company Act, federal securities regulations, and securities industry practices
  • Good team player; ability to work well with team members
  • 5-8 years of experience in the financial services industry
  • Bachelor’s degree or higher

The salary range is roughly around $135k to $145k base plus bonus. 

Please email resumes to Jack Kelly at JKelly@ComplianceSearch.com.

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