Compliance Tasks:Manage the compliance email inbox, responding to inquiries and requests in a timely manner.Conduct semi-annual reviews of mutual fund share classifications.Assist in the evaluation of compliance submissions through our compliance monitoring system.Evaluate technology vendor proposals for compliance with due diligence requirements.Conduct personal holdings reviews for compliance with organizational policies.Collect and prepare regulatory filings, including but not limited to forms 13F and 13H, liaising with custodians as necessary.Secure and review custodial reports from external custodians.Contribute to the creation and upkeep of standard operating procedures for the compliance department.Undertake various tasks and participate in special projects as needed.Audits:Support the audit process for advisory accounts.Assist advisors in preparing for regulatory examinations.Participate in internal programs aimed at promoting compliance awareness.Support the management and oversight of electronic document signatures, retirement plan compliance, advisory fee reviews, and annual compliance reviews as required by regulations.
1-4 years
Visionary thinking with a focus on the big picture.Effective multitasking and problem-solving skills.Keen attention to detail.Strong communication skills, both verbal and written.Excellent interpersonal abilities.Proficient in time and project management.Strong organizational skills.Competent in using Microsoft Office Suite, especially Excel and Word.
Bachelor?s degree preferred.Financial industry certifications such as Series 7 and 66 preferred.3-5 years of experience in compliance or supervisory roles within the financial services industry.Ability to process and analyze complex information.
Bachelors
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