Organizational Objective/Purpose:

A well-respected bank and financial services firm seeks an experienced Compliance professional for their Investment Management division.

Brief Description of Role:

The general purpose of this position is for the Compliance professional to participate in the administration, development and execution of the company’s reinvestment management Compliance Program.

He/she will be involved with an array of matters. This role will focus on policies and procedures of the RIA, and risk assessments across the investment management’s business areas. The Compliance professional will advise business clients on regulations and related compliance policies. He/she will maintain and develop compliance policies and procedures in an effort to establish industry best practices.  The person in this role will also be expected to interact with key business people in Management, Legal, Trading, and Operations.

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

 The Senior Compliance Officer will directly report to the Chief Compliance Officer of this division.

Specific Responsibilities:

  • 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.


Technical/Functional Qualifications:

  • Solid compliance, operational and risk understanding investment advisory business.
  • 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
  • Bachelor’s degree or higher


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

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