Compliance Manager at RIA - ref. t52427603

Please contact Michelle Espejo via LinkedIn or Email for fastest consideration for this opportunity.

Their comprehensive services range from asset allocation and portfolio management to customized wealth management, all designed to help clients achieve their financial goals through personalized, collaborative relationships.

Responsibilities:

• Develop and monitor effective compliance procedures.
• Establish robust internal controls and ensure adherence.
• Conduct ongoing testing of compliance policies and procedures.
• Draft and update company policies to maintain relevance.
• Educate employees on regulations and industry best practices.
• Maintain organized and up-to-date client folders.
• Gather data for regulatory reports and filings.
• Assist in producing annual and quarterly compliance reports.
• 3+ years of experience as a Compliance Manager/Officer at an RIA.
• Strong experience with regulatory filings, including Form ADV, Forms 13F, 13G, and 13H.
• Knowledge of ComplySci Compliance Platform or similar compliance platforms
• Bachelor's degree in finance, or related field.
• Professional certifications like IACCP, CCEP, or CCRP are a plus.
• Excellent communication skills and the ability to manage multiple projects concurrently.
• Strong attention to detail and accuracy.

Please contact Michelle Espejo via LinkedIn or email for additional info or any questions you may have.