Overview

Portsmouth, NH and/or Boston, MA

A fast-growing financial services firm focusing on the high-net-worth wealth management market seeks a Compliance Officer for one of their divisions.

Job Description

The company seeks a bright, motivated and experienced Compliance Officer to join their growing wealth management firm that caters to extremely wealthy families.

You will be responsible for all aspects of the compliance program and internal controls as they relate to the asset management and investment advisory services offered and sponsored by the firm. You will work closely with senior business management, relationship managers, investment analysts, marketing, operations, regulators, and outside advisors as needed.

Responsibilities

The essential duties of the Compliance Officer include:

  • Serve as the Chief Compliance Officer for this division;
  • Manage and implement the investment advisory (IA) compliance programs, including facilitating the risk assessment and annual compliance review, preparing the annual review report, establishing and implementing investment advisory compliance and surveillance processes, testing, and consulting with firm personnel where appropriate;
  • Enhance and maintain investment advisory policies and procedures and disclosures;
  • Research new rules and regulations and implement appropriate policies and procedures;
  • Design and enhance appropriate controls to monitor investment advisory activities;
  • Develop and maintain an ongoing compliance education program and provide training to firm personnel;
  • Maintain the firm’s investment adviser registration, including filing Form ADV amendments and Investment Adviser Representatives registration forms
  • Prepare and file other regulatory forms/reports, as applicable;
  • Serve as a member of key firm governance committees;
  • Perform mock SEC audits and manage SEC examinations
  • Coordinate with Wealth Management staff on products and services to maintain appropriate policies for the firm;
  • Report to and support the Managing Partner in handling investment advisory regulatory and compliance matters;
  • Provide support to the Managing Partner with respect to regulatory issues and filings, including under existing and proposed federal and state laws;
  • Provide guidance to the Leadership Team. Implement proper training and professional guidance to ensure that the team and staff maintains high compliance standards and knowledge of all relevant laws, rules and regulations;
  • Participate in key industry conferences and working groups, and maintain collaborative relationships with relevant regulators, including the SEC;
  • Other tasks as assigned

Desired Skills and Experience

  • Strong service orientation and interpersonal skills; ability to establish and maintain effective working relationships with peers, leaders, and outside business partners
  • Ability to manage and work collaboratively in a team environment
  • Prior experience working for a financial institution is preferred
  • Excellent oral and written communication skills, including the ability to communicate detailed and complex information to others at all levels of the organization
  • Series 65 or equivalent license preferred
  • Self-motivated with high level of attention to detail
  • Minimum 5+ years Investment Advisory Compliance experience
  • Bachelor’s Degree require

 

Please email resumes to Jack@ComplianceSearch.com

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