Reference Number: MHH7712
Location: Westerly, Rhode Island

Judson Group has partnered with a growing independent registered investment advisor in the search for a Compliance Manager – Wealth Management. This role works closely with the Chief Operations Officer to perform oversight over compliance matters including all communications and correspondence, website, transaction/trend supervision, and compliance monitoring systems. The ideal candidate will have had experience working with compliance, technology, legal, and/or operations departments within a financial institution.

Responsibilities:

• Responsible for compliance management systems and compliance of documents, audits, reports, calendars, manuals, and forms needed for regulatory compliance reviews.
• Assist in client file reviews of advisors in ensure case notes and recommendations are in good standing.
• Ensure compliance materials, policies and procedures are reviewed and updated on a regular basis to reflect current regulatory guidance.
• Support advisors including handling trade corrections and any client complaints.
• Ensure timely and accurate SEC and state filings.
• Remain current with SEC, FINRA, state and other regulatory guidance including regulatory audit initiatives.
• Coordinate Compliance Committee meetings including timely communication of industry updates.
• Ensure the books and records required to be maintained are complete, accurate and easily accessible.
• Coordinate audits.
• Coordinate compliance program requirements with outside compliance advisors.
• Monitor continuing education for associates.
• Review and update required new and existing employee attestations.

Requirements:

• 3-5 years of compliance and operations/technology experience within financial services.
• Active and valid FINRA Series 7,9/10 and 63 registrations or the ability to obtain.
• Experience at an RIA, wire house, broker-dealer, or bank highly preferred.
• Bachelor’s degree; Advanced degree (MBA) preferred.
• Strong writing and communication skills.

Compensation:
Competitive base salary and benefits

Location: Westerly, Rhode Island

Reference Number: MHH7712