Description:
Job Overview:
In this role, you will partner with
numerous internal business areas throughout the firm to support the
continued growth of A Financial Services Firm' retail investment advisory business
and our commitment to helping serious, long-term investors achieve their
financial goals. Your primary responsibilities will focus on
maintaining and continually evolving the compliance program for a suite
of discretionary and client-directed fee-based advisory programs
currently comprised of 4.8+ million accounts totaling more than $700
billion in assets. Additionally, you will be involved in evolving A Financial Services Firm' advisory offerings to better serve current and prospective
clients.
The work is dynamic and requires: (i)
strong collaboration and the ability to foster meaningful and deep
relationships across the organization; (ii) the ability to prioritize
and timely address numerous complex efforts simultaneously; (iii)
flexibility and innovative approaches to successfully achieve optimal
solutions for clients, branch teams and the firm; and, (iv) a growth
mindset and adaptability to help the firm's advisory business evolve. If
you exhibit these qualities, possess an aptitude for continual learning
and prioritize being an instrumental partner dedicated to advancing A Financial Services Firm' investment advisory business, we encourage you to apply
What you will do….
- Provide wide-ranging compliance advice and guidance to areas that support the firm's advisory business to maintain and continually evolve the adviser's compliance program
- Engage in significant enterprise-level initiatives involving the firm's retail advisory offerings
- Influence and guide the adviser's compliance, regulatory, and business initiatives by recommending innovative solutions and best practices that benefit clients, branch teams and the firm
- Investigate and timely resolve compliance issues, including those that are complex and ambiguous, and respond to questions from internal stakeholders throughout the organization
- Interpret laws, rules and regulations affecting the operation of the organization and develop specialized depth and breadth of expertise involving a wide variety of investment advisory matters
- Coordinate and conduct assessments of internal policies, procedures and controls
- Oversight: (a) the operation of various departments to ensure compliance with relevant regulatory requirements, including laws, rules and regulations; and, (b) the design, implementation and operation of the adviser's overall compliance program
- Aid in conducting the adviser's annual compliance review
- Assist in the preparation of the adviser's regulatory disclosures (e.g. Form ADV) as well as certain regulatory filings and responses
- May independently conduct due diligence and ongoing oversight of third-party service providers
- Accountability for the performance and results of some functions within the Investment Advisory Compliance department's scope of work
What you'll need…
- J.D. and license to practice law that is active and in good standing
- At least 3 years of legal and/or compliance experience required, preferably in the securities (or other highly regulated) industry
- Knowledge of the Investment Advisers Act of 1940, federal and state securities laws, and the investment advisory business preferred but not required
- Adept at analyzing and creatively solving ambiguous matters that are often complex
- Ability to develop strong and meaningful networks and partnerships at all levels and in a wide variety of areas in Compliance and across the organization (e.g. Operations, Investment Advisory Platform Management, Legal and Risk)
- Previous involvement in significant projects and initiatives preferred
- Highly organized, collaborative, adaptable to change and excited to continually learn in a dynamic organization
- Superb writing, verbal and interpersonal skills
- Exceptional judgment, strong work ethic, thought leadership and unwavering integrity
- Series 7, 66 and 24 licenses must be obtained within 12 months if not already held