What are the responsibilities and job description for the Sr. Compliance Specialist position at Prescott Partners?
Due to firms unprecedented growth, well-established Atlanta based SEC Registered Investment Advisory firm is looking to hire a Sr. Compliance Specialist to join a family oriented Financial Advisory Services firm and work with a dedicated team who build unrivaled partnerships with our investment professionals. They are a multi-custodial firm and clear through all of the major custodial platforms. Their unique culture puts investment professionals and their clients at the heart of everything they do.
Position Summary
Your position, as a Sr. Compliance Specialist, is to support the Chief Compliance Officer in all aspects of the firm’s risk and compliance program and provide operational and administrative support. Your knowledge of firm policies, procedures and regulatory requirements allows you to perform, analyze and/or facilitate specific components of the compliance monitoring program. You will work independently and in conjunction with other members of the firm’s compliance and operations team to help mitigate risk to the firm and resolve problems. You are detail oriented with proven organizational skills, able to manage time efficiently and can multi-task. You have proven written and verbal communication skills. We can offer you an exciting, fast-paced working environment, and the opportunity to play a vital role in our growth. We are an equal opportunity employer offering a competitive salary and benefit package.
Responsibilities:
- Assist CCO with the firm’s branch inspection program, including scheduling, preparation, inspection and follow up.
- Under the direction of the CCO, conduct compliance reviews to evaluate and test for compliance with applicable rules and regulations, policies and procedures. Provide written reports of findings.
- Review daily exception reports and alerts and process accordingly
- Proactively review Financial Advisor email communications and escalate any concerns to the CCO
- Interact with Compliance Team and advisors to help resolve potential compliance issues
- Review Financial Advisor attestations and reports
- Pay close attention to detail, process work accurately
- Interpret impact of new regulation on existing and future communication and contribute to compliance policy development.
Qualifications:
- 10 years of investment advisory or FINRA member broker/dealer compliance experience
- Strong understanding of the regulatory environment with respect to investment advisers, including the Investment Advisers Act of 1940
- Excellent skills in Microsoft Office Suite and other technologies
- Detail and service oriented with proven organizational skills, able to manage time efficiently and can multi-task
- Proven written and verbal communication skills
- Ability to work both independently and collaboratively