Manager, RIA Compliance

Major Responsibilities Compliance manager will provide oversight and guidance of investment adviser's activities by reviewing Form ADVs, advisory contracts and give guidance on various regulatory and industry requirements. Will conduct compliance reviews of business groups to detect weaknesses and implement corrective actions. Monitoring and surveillance of client transactions to ensure compliance with investment restrictions and guidelines and preparation of various reports. Will also monitor employee personal transactions to ensure compliance with the Code of Ethics; assist in preparing and updating policies and manuals as well as assisting in the preparation and presentation of training programs.

Requirements

Five years experience as a compliance analyst in financial services, with strong knowledge of Investment Adviser Act of 1940. In-depth knowledge of applicable regulatory requirements and understanding of the relationship between compliance and key business activities. Strong communication, negotiation and research skills required. Series 7, 24, 63, 65/66 required.