We are seeking Compliance Officer for our client

The position will have a primary focus on the firm’s investment advisory business, supporting the development, implementation and ongoing oversight of its SEC regulatory compliance program.

Responsibilities

Support the ongoing administration and enhancement of the firm’s investment adviser compliance program.Monitor compliance with SEC regulations, the Investment Advisers Act and applicable firm policies and procedures.Assist with the preparation and maintenance of Form ADV and other required regulatory filings and disclosures.Conduct compliance monitoring, testing and surveillance across advisory activities.Assist with the annual review of the firm’s compliance program, policies and procedures.Review marketing materials, client communications and other materials for compliance with applicable SEC requirements.Support administration of the firm’s Code of Ethics, including personal trading and related employee compliance requirements.Review advisory agreements, disclosures and other client-facing documentation.Identify potential compliance risks and work with the business to implement appropriate corrective actions.Monitor regulatory developments and assist with updates to policies, procedures and internal controls.Support employee compliance training and regulatory communications.Assist with SEC examinations, regulatory inquiries and requests for information.Coordinate with outside counsel, consultants and other compliance resources as necessary.Track remediation items and ensure identified issues are addressed appropriately and within required timeframes.Provide secondary compliance support to the firm’s broker-dealer business, including FINRA-related matters, surveillance and supervisory activities.Qualifications

Bachelor’s degree in Finance, Business, Economics or a related discipline preferred.5+ years of relevant compliance experience within financial services.Experience supporting an SEC-registered investment adviser strongly preferred.Strong knowledge of the Investment Advisers Act and SEC requirements applicable to investment advisers.Experience with RIA compliance monitoring, testing, policies and procedures, regulatory filings and examinations.Familiarity with Form ADV, Code of Ethics requirements and SEC Marketing Rule requirements preferred.Broker-dealer/FINRA compliance experience is beneficial but should not be the primary focus of the candidate’s background.Series 7 and 24 preferred.Bilingual English/Spanish strongly preferred; Portuguese is a plus.