Reference Number: DW6726
Location: Rochester, New York
Judson Group has been retained by a leading independent financial advisory firm in the search for a Compliance Manager. The ideal candidate will have had experience working with compliance, technology, legal, and/or operations departments within a financial institution. This individual will provide compliance, legal, and business support across the firm.
- Key contributor and leader (along with CCO) for the design and execution of the compliance program to ensure that regulatory compliance is maintained at highest possible level. Requires working closely with external legal counsel to the firm, as needed, with respect to guidance for the firm.
- Develops and implements policies and procedures designed to comply with all relevant laws, rules and regulations and to address risks and conflicts of interest.
- Includes oversight of systems, documents, client reports, calendars, manuals, marketing materials, and forms needed for regulatory compliance reviews
- Prepare all required regulatory filings and reports, including ADV, 13F, 13H, Form CRS
- Ensure proper payment of all regulatory fees
- Support (mock) SEC audits and examinations, risk assessments, regulatory reports, and filing amendments
- Operates with a “hands on” approach – requires knowledge of system and participation in firm activities. Can be a self-starter to uncover problems and find ways to fix.
- Maintain documentation of compliance policies and procedures commensurate with the compliance risk profile and in accordance with applicable regulatory requirements
- Develops and maintains an effective compliance training program, including appropriate introductory training for new employees and delivery of periodic and annual compliance review for staff
- Conduct internal compliance audits to ensure adherence to firm compliance policies and procedures. Identify issues/risks/deficiencies in compliance processes and procedures, and develop appropriate corrective action plan
- Monitors and reviews employees’ personal securities transactions to ensure compliance with the firm’s Code of Ethics and conducts annual training on the Code of Ethics.
- Reviews emails and social media communications for the firm and its employees.
- Reviews trading activity for best execution and compliance with firm’s trading procedures.
- Works closely with the portfolio management, trading, marketing, client service, business development and operations teams to advise or help resolve compliance issues
- Participate in all Investment Committee Meetings; provide guidance related to compliance
- Attend Operation Team Meetings; provide guidance related to compliance
- Analyze monthly compliance reports to determine if regulations and firm polices are met within set timing standards, including oversight reports
- Promotes a culture that encourages ethical conduct and a commitment to compliance with applicable laws and regulations
- Coordinates and oversees internal audits by outside consultants.
Responsibilities – Financial
- Become a proficient Tamarac user
- Prepare and execute quarterly billing process
- Act as the go-to for all client/account analysis
- 4+ years of compliance and operations/technology experience within financial services
- Experience at an RIA, wire house, broker-dealer, or bank highly preferred
- Bachelor’s degree; Advanced degree (MBA) preferred
- Exceptional writing and communication skills
- Strong integrity, values and ethics
- Ability to establish a rapport and gain cooperation and commitment from others
- Possess a high degree of credibility and demonstrate professionalism both inside and outside the organization.
- Strong analytical and reasoning skills and ability to exercise balanced judgment.
- Strong organizational skills and ability to manage multiple projects simultaneously.
- Problem solver
- Fully proficient in Microsoft Office suite, very strong in Excel
Chief Compliance Officer
Chief Operations Officer
Competitive base salary and benefits
Rochester, New York
Reference Number: DW6726