Job Description

Well-regarded RIA is seeking a senior compliance officer to join their team.

This team member will oversee the firm's compliance program, and work collaboratively with senior management.

• Design, implement, and enhance the firm’s compliance policies and procedures.
• Maintain the firm’s Code of Ethics and ensure employee adherence.
• Monitor and interpret changes to laws, regulations, and industry guidelines relevant to investment advisory firms.
• Ensure compliance with SEC, FINRA, and other applicable regulatory bodies.
• Oversee regulatory filings, including Form ADV, Form CRS, and other periodic disclosures.
• Serve as a trusted advisor to senior leadership and employees on compliance matters.
• Develop and deliver training programs to educate employees on compliance requirements, ethics, and best

Requirements:

• 7-10 years of compliance experience in financial services, preferably in investment advisory firms or private wealth management.
• Strong knowledge of SEC regulations, including the Investment Advisers Act of 1940.
• Experience managing regulatory examinations, audits, and inquiries.
• Excellent written and verbal communication skills
• Ability to thrive in an ever-changing, fast paced environment
• Ability to work independently as well as with a team

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