An established and growing investment management firm is looking to hire a Compliance Officer to join its team, reporting directly to the Chief Compliance Officer.
Key Responsibilities
- Review marketing and advertising materials to ensure compliance with SEC regulations, including performance advertising and disclosure requirements.
- Support the preparation of Due Diligence Questionnaires (DDQs) and Requests for Proposals (RFPs).
- Complete regular compliance monitoring, including weekly, monthly and quarterly checklists.
- Maintain and update compliance policies, procedures and the firm's compliance manual.
- Assist with risk assessments, annual compliance reviews and vendor due diligence.
Candidate Requirements
- Bachelor's degree or equivalent.
- Ideally 2–3 years' compliance experience within financial services, preferably at an RIA, investment adviser or broker-dealer.
- Working knowledge of SEC rules and regulations, particularly those relating to investment advisers and registered investment companies.
- Strong Microsoft Office skills, particularly Excel.
Compliance Officer in az at Unknown Company
This position is listed as full time and onsite.