The Senior Compliance Officer is a professional who Loves all things compliance and helping firms improve their compliance programs. The ideal candidate will have experience performing compliance testing for broker-dealers and RIAs. The ideal candidate loves working in the background, collaborating when needed, and holds themselves to a high standard of work product and professionalism.

Responsibilities:

The successful candidate will:

Manage compliance programs for clients

Provide clients with guidance regarding best practices

Handle amendments to Form ADV and other IARD/CRD filings (e.g U4, U5) and Edgar-based filings (e.g. 13F, 13 H)

Work with regulators to achieve registration for RIAs and, as needed, their advisory personnel

Review disciplinary matters to ensure that DRPs (Disclosure Reporting Pages) contain proper disclosure

Assist with the RIA annual updating amendment/renewal process

Coordinate with colleagues (including those in client-facing roles) and directly with RIA and BD clients (as needed)

Conduct RIA and BD compliance tasks and testing- best execution review, trading review, billing review, email review, advertising review, social media review, testing archiving, auditing books and records, branch office reviews, risk assessments, etc.

Drafts compliance manuals, code of ethics, business continuity plans, and cybersecurity policies and can review and analyze them for required updating

Adequately compiles and organizes materials, and compiles relevant documents in databases and network drives to maintain an accessible file

Keep up with new and emerging regulation

Performs other duties and projects as needed

Qualifications:

Comprehensive prior proficiency in Form ADV and other legal documents

Someone with a profound enthusiasm for customer service and devotedness to being timely when it comes to client needs

A passion for working in a fast-paced, small company setting

A way of problem-solving

Previous experience in RIA and BD regulatory firms, law firms or NASAA

Stellar written, organizational, and follow-up talents

At least ten to fifteen years of working for an RIA, BD or law firm that caters to RIAs and BDs

Exceptional attention to detail and capacity to analyze data, identify patterns, and escalate matters as needed

Demonstrated critical thinking authority and fascination

Superb independent follow-up proficiency

Outstanding ability to manage time and multitask efficiently

Exceptional penmanship and verbal aptitude for different business circles

A customer service-oriented mindset

Keen to meet or exceed expectations without fail

FINRA licenses required (7, 24, 53)

About Company:

About Us:

We are a forward-thinking and innovative law firm that believes in making a meaningful impact on our clients' lives. We have a strong team that works well together, and we're committed to maintaining a positive and supportive work culture.

Join Our Growing Team:

At our law firm, you won't just be an employee; you'll be part of a team that values growth, learning, and camaraderie. We take pride in the work we do and the difference we make in our clients' lives.

Don't Miss Out:

Seize the opportunity to be part of something extraordinary! Apply now and take your career to new heights. Let's make a difference together!