A highly reputable and rapidly growing financial services organization is looking to add a driven, detailed, and engaging Senior Compliance Officer to its Investment Advisory team.
An ideal candidate is someone who has a strong background with compliance matters for firms and products, platforms, and filings of the investments sector.
This role offers exposure to high-level compliance experiences that will provide exciting work and the path for future professional growth opportunities.
The position can sit in a hybrid setting in Cleveland.
You will be responsible for
- Manage a team of Compliance Analysts
- Lead the preparation and filing of regulatory matters such as Form ADVs, CRS and 13F / H
- Develop and manage the company’s Compliance Program
- Partner with the Operations, Products, and Platforms teams on various projects and questions related to those divisions, with guidance for any investment advisory implications
- Assist with all investment advisory compliance issues for the firm
- Partner directly with and advise senior leadership on compliance issues in the IA space and provide unique solutions
You should have the following qualifications
- Bachelor’s degree; preferably in Finance
- 5+ years of Investment Advisory compliance experience
- Significant experience working with the Advisers Act of 1940, Company Act of 1940, and Securities Act of 1933
- Knowledge and understanding of SEC and FINRA rules and regulations
- Knowledge of investment platforms is a plus
- Series 7 and 24 are preferred
Benefits
- Competitive salary and an excellent bonus package
- Full Benefits (medical / dental / vision / 401k) on first day of employment
- Excellent PTO plan
- Remote work days
If you are interested, please click the link above for immediate consideration!
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A highly reputable and rapidly growing financial services organization is looking to add a driven, detailed, and engaging Senior Compliance Officer to its Investment Advisory team. Partner directly with and advise senior leadership on compliance issues in the IA space and provide unique solutions. A...
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