Compliance Manager - FEG

FEG Investment Advisors

Location: Cincinnati, OH

Overview

The Compliance Manager supports the Chief Compliance Officer (CCO) and SVP of Compliance (SVP) in overseeing the compliance programs for FEG’s advisory entities and funds. This role is responsible for managing and executing core compliance functions such as regulatory filings, policy and procedure maintenance, marketing reviews, vendor oversight, and compliance testing.

The Compliance Manager ensures the SVP and CCO are kept informed of significant developments, potential violations of federal securities laws, and internal policy breaches. They help identify risks and control gaps and collaborate on reporting findings and recommending solutions. This position also offers growth opportunities for individuals interested in leadership and team management.

Key Responsibilities

• Responsible for performing compliance testing and audit work, documenting findings and recommendations. The Manager will provide assistance with the annual compliance risk assessment.
• Assist and provide support in identifying compliance and/or regulatory risks and potential risks related to rules, regulations and the policies and procedures of the Advisors and the Funds. Identify gaps and inefficiencies in processes and suggest changes for improving efficiencies.
• Assist with researching, drafting and amending policies and procedures for the Advisors and the Funds to remain compliant with securities rules and regulations. Assist with the implementation of modifications and enhancements to the compliance program.
• Manage the process and act as the lead for the Compliance team in performing reviews of advertising and marketing material to ensure that they include proper disclosures and are compliant with rules and regulations. Manage the pipeline by delegating submissions, monitoring progress and quality to ensure that we are completing compliance reviews in a timely and accurate manner.
• Assist in drafting and filing Form ADVs, Form PFs, NFA/CFTC exemptions for the Advisors and Funds.
• Assist in overseeing and act as lead for initial and ongoing due diligence of vendors. Maintain a risk-based inventory of vendors and execute process for ongoing due diligence of vendors.
• Assist with firm-wide compliance training for all FEG employees and provide guidance and assistance to employees’ inquiries regarding compliance matters.
• Support and assist with training compliance staff and provide guidance as needed.
• Assist the CCO in gathering information and preparing reports for the Risk Management Committee, Leadership Team and the Board.
• Provide assistance in gathering and preparing responses for the SEC during an examination. Assist with updating our correspondence files and recordkeeping.
• Keep apprised of SEC and other applicable securities regulations as they relate to the Funds and the Advisors.
• Coordinate and manage special projects and initiatives as they arise.
  
  

Skills & Characteristics

• Ability to provide direction and support to the Compliance team.
• Experience managing routine compliance work and special projects.
• Strong analytical skills with the ability to interpret data and regulations.
• Excellent written and verbal communication skills.
• Ability to collaborate effectively across all levels of the organization.
• Strong conflict resolution skills.
• Proven ability to build relationships with internal and external business partners.
• Effective time management and prioritization skills.
• Strong problem-solving capabilities.
• Highly organized with strong attention to detail.
• Ability to multi-task and perform under pressure.
  
  

Qualifications

• Bachelor’s degree in business-related fields such as finance or accounting is preferred.
• 5-10 years of work experience in investment advisory compliance.
• Strong working knowledge of the Investment Advisers Act of 1940 is desired.
• Compliance designation such as IACCP is desired.
• Experience working with compliance solutions such as Star Compliance, Red Oak Compliance, ACA Compliance Alpha, Global Relay, etc.
• Ability to identify and resolve/escalate complex problems with minimal guidance.
• Experienced in Microsoft Office, Excel, PowerPoint and SharePoint with strong attention to detail, excellent written and verbal communication skills and high work ethic.
  
  

What We Offer / Benefits & Compensation

• Competitive compensation and bonus opportunities commensurate with qualifications and performance.
• Employer-paid life/STD/LTD and subsidized Medical, Dental, & Vision plans.
• Wealth Benefits including company contributions into 401(k) and ESOP programs.
• Paid Time Off (Holidays, PTO, Parental Leave) and flexible/hybrid working.
• Employee-led culture committees dedicated to enabling a happy and healthy company culture.
  
  

Why FEG?

FEG is an independently owned advisory firm that provides investment consulting, outsourced chief investment officer (OCIO), and research services to predominantly institutional clients, such as university endowments, private and public foundations, religious organizations, healthcare institutions, corporate retirement plans, and select family offices.

Founded in 1988, FEG has served communities, both directly and by helping our clients fulfill their missions, for over 35 years. FEG employs 140 professionals across offices in Cincinnati, Ohio, Dallas, Texas, and Indianapolis, Indiana, with approximately $95.1 billion in client assets under advisement.

To apply: https://www.feg.com/careers