Compliance Specialist

Compliance Specialist

Who we are

Per Stirling Capital Management is an award-winning, S.E.C.-registered investment advisory firm specializing in holistic financial planning, investment portfolio management, and comprehensive wealth management services tailored to the unique needs of each client. Our team thrives in a fun, collaborative, and collegial environment, with significant opportunities for professional growth and advancement as we continue our rapid expansion.

Job Summary

The Compliance Specialist will provide support to the Chief Compliance Officer to help create, maintain, and analyze processes tied to the firm’s compliance program and mitigating risk.

The Ideal Candidate Will Have:

· Excellent organizational skills and attention to detail.

· Ability to plan, arrange and set daily priorities.

· Ability to adapt quickly to changing situations and priorities.

· Excellent time management skills with a proven ability to meet deadlines in a fast-paced environment.

· Strong analytical and critical thinking skills.

· Able to work with highly sensitive information with integrity and show strong judgment with risk identification and assessments.

· Critical thinking capabilities and a strong initiative.

· Excellent written and verbal communication skills.

· Must have high emotional intelligence; be calm under pressure, and efficient in both team and individual environments.

· Capable of working independently, however, keenly aware of the need to effectively communicate and share information with colleagues.

· Proficient in MS Office Suite.

· Knowledge of other technology or commonly used financial services industry platforms a plus (Orion preferred).

Duties to be Performed:

· Research and analyze data and prepare reports for management.

· Assist with conducting routine surveillance of electronic communications for adherence to regulatory compliance.

· Assist in investigating potential compliance issues and collaborate with management to resolve or escalate issues.

· Assist in conducting required compliance reviews, including but not limited to marketing, outside business activities, and personal securities transactions.

· Review potential errors, inconsistencies, improper practices and make recommendations to management.

· Assist with onboarding new advisors and employees and ensure compliance requirements and training is completed.

· Assist with the implementation of annual compliance requirements, including training, to ensure the firm is compliant with relevant laws and regulations.

· Assist with compliance risk assessments, SEC regulatory audits, policies, procedures, and guidelines governing the compliance department.

· Understand risks and take appropriate actions as they relate to the firm’s policies including documentation, and any other requirements to maintain operational integrity.

· Assist with maintaining and enhancing a culture of compliance throughout the company.

· Follow security, confidentiality and safeguarding procedures and apply appropriate due diligence for ensuring compliance in accordance with firm policies.

· Maintain up to date knowledge in the policies and regulations of regulatory bodies to ensure compliance with all work activities.

Education and Experience:

· Bachelor’s degree required. Four additional years of related experience beyond minimum required or possession of a professional designation such as Investment Adviser Certified Compliance Professional, Certified Compliance Specialist, or Certified Regulatory and Compliance Professional may be substituted in lieu of a degree.

· Minimum of 2 years compliance experience in financial services.

· Series 65 or 66 required (Series 7 and 24 preferred).

· Experience with custodial platforms (Fidelity and/or Schwab preferred).

Pay: $65,000.00 - $80,000.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Health insurance
• Health savings account
• Paid time off
• Professional development assistance
• Retirement plan
• Tuition reimbursement
• Vision insurance

Work Location: In person