Senior Compliance Officer
: Job Details :

DESCRIPTION:

A New Jersey based SEC registered investment adviser (“RIA”) seeks candidates interested in applying for the role of Senior Compliance Officer for a firm with 160 plus supervised persons. The RIA is an $8B billion AUM privately held firm that was founded in 1994. The firm provides customized financial planning and wealth management services to a broad array of clients, including high-net-worth individuals, family offices and other institutional clients. The RIA is a “hybrid” RIA with a number of its IARs dually registered with a large third-party broker-dealer.

The Senior Compliance Officer will work directly with the firm's Chief Compliance Officer (“CCO”) to administer and support the RIA's Rule 206(4)-7 compliance program, including, but not limited to, updating and maintaining the written policies and procedures and managing the compliance-related testing, reviews and risk assessment processes. The Senior Compliance Officer will report directly to the CCO.

The specific responsibilities of the Senior Compliance Officer include, but are not limited to:

• Monitor the day-to-day administration of the RIA's compliance program.
• Assist the CCO with all dealings with any regulatory agencies.
• Supervise the firm's day-to-day activities
• Review and approve client marketing, reporting and correspondence.
• Manage the firm's annual testing process
• Assit the CCO with all regulatory filings, including Form ADV (all parts) and Securities Exchange Act Section 13 filings.
• Perform reviews of the firm's remote locations
• Monitor the RIA's Code of Ethics Platform and compliance with any related requirements.
• Assist in the review of electronic communications.
• Update and maintain all written compliance policies and procedures.
• Work with the CCO to design and implement clear operational, compliance and supervisory systems.
• Coordinate and conduct periodic continuing education and staff training.
• Any other compliance related tasks requested by the CCO

REQUIRED QUALIFICATIONS:

Bachelor's Degree. Minimum of five (5) to ten (10) years' combined work experience with a registered investment adviser and a registered broker-dealer in a compliance role. MBA, JD or other graduate degrees are not required.

Preferred Licenses . Series 65 or Series 66 / FINRA Series 7, 24 and 63 licenses (or obtained within six (6) months of hire).

The following are additional required qualifications. The candidate:

• Must have a working knowledge of the Microsoft Office suite of products.
• Should have excellent organizational, interpersonal and communication skills.
• Should have a multi-tasking ability to complete projects within tight time constraints and adapt quickly as needs change.
• Should have a strong commitment to excellence and attention to detail.
• Should have strong process and leadership skills.
• Should have an ability to develop effective working relationships with staff, peers and industry