The Compliance Officer ensures the firm adheres to all regulatory requirements and internal policies while fostering a culture of compliance and ethical conduct. This role involves overseeing compliance programs, conducting audits, and ensuring the firm operates within the frameworks established by the SEC, FINRA, and other regulatory bodies applicable to RIAs.

Key Responsibilities:

• Develop, implement, and maintain the firm’s compliance program to ensure adherence to applicable laws, regulations, and best practices.
• Monitor regulatory updates and assess their impact on firm policies and procedures.
• Conduct periodic compliance audits and risk assessments to identify and mitigate potential issues.
• Prepare and submit regulatory filings, such as Form ADV and other required documents, accurately and on time.
• Oversee and manage the firm’s Code of Ethics, including monitoring employee personal trading and reporting.
• Provide compliance training and education to staff to promote awareness and understanding of regulatory requirements.
• Review marketing materials, client communications, and investment advice for compliance with regulatory standards.
• Respond to regulatory inquiries and examinations, serving as the primary liaison with regulatory bodies.
• Maintain records and documentation to demonstrate compliance with applicable regulations.
• Investigate compliance violations and recommend corrective actions as needed.
• Collaborate with leadership to promote a culture of compliance across the organization.

Qualifications:

• Bachelor’s degree in Business, Finance, Law, or a related field; advanced degree or certifications (e.g., IACCP, CPA, or JD) preferred.
• Minimum 5 years of compliance experience in a Registered Investment Advisory or financial services firm.
• In-depth knowledge of SEC, FINRA, and other relevant regulatory frameworks.
• Strong analytical and problem-solving skills with attention to detail.
• Excellent communication skills, both written and verbal.
• Proficiency in compliance software and tools commonly used by RIAs.
• Ability to work independently and manage multiple priorities in a fast-paced environment.