Job Description:

Our client, an investment management services firm, is looking to hire a Compliance Officer to join their team.  This role as a compliance officer will be responsible for the marketing compliance review function including disclosure documents, and advertising/marketing materials of the RIA and BD, including private funds.  This position will also be advising business clients on regulations and related compliance policies, and maintaining and developing compliance policies and procedures in an effort to establish industry best practices around marketing and communications. This role will also be conducting risk assessments across the business as well as assisting in the general administration of the compliance program.


  • Timelyreview of proposed advertising and marketing materials across multiple formats to ensure compliance with regulatory guidelines and best practices.
  • Review and maintenance of all disclosure documents of the RIA and BD, including the Form ADV, RFPs and RFIs.
  • Maintenance and development of compliance policies and procedures around Disclosures, Marketing Materials, and Communications as needed due to changing regulations
  • Consider, recommend and implement new technology for marketing review workflow.
  • Educate and train staff on firm policies and procedures
  • Proactively identify and champion opportunities to improve compliance efficiencies and minimize risks
  • Perform risk assessments across the firm to identify gaps and strengthen controls
  • Perform general compliance projects and tasks
  • Gather and manage data for enterprise reporting purposes.


The ideal candidate will have previous compliance experience in a high-touch/high-client-experience-expectation organization within a registered investment advisor and broker dealer.

  • Solid compliance, operational and risk understanding investment advisory & broker dealer business, specifically around disclosure documents, marketing materials and outgoing communications, including focus on private funds marketing.
  • Strong knowledge of the Investment Advisor Act and strong working knowledge of FINRA, federal securities regulations and securities industry practices
  • Solid experience in performing risk assessments
  • Excellent client focus, accurate and logical problem solving, and strong written and verbal communication skills
  • Good team player; able to work well with team members and provide mentorship, training and necessary support to junior members
  • Self-motivated. Ability to work independently, on multiple deadline-orientated tasks in a high energy environment, and prioritize based on regulatory/operating risk and business needs
  • Strong interpersonal skills; able to work with all levels of staff and Management.
  • Build and maintain good relationships with internal and external business partners.
  • Good organizational and time management skills. Ability to work under pressure and deliver assignments on schedule
  • 10+ years of experience in the financial services industry
  • FINRA securities licenses 24 preferred
  • Bachelor’s degree or higher

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

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