Senior Compliance Adviser

4 days ago

Apply Now

Receive Emails with Similar Jobs

Tidal Financial Group

WebsiteLinkedInAll Job Openings

Trust Services • Strategy & Planning • Product Development • Marketing • Business Development

51 - 200

Description

• Regulatory Compliance: Ensure compliance with Rule 206(4)-7 of the Advisers Act, including Form ADV updates and related documentation. • Personal Trading Management: Oversee the management of the personal trading portal for firm employees, ensuring adherence to internal policies and regulatory requirements. • Annual Compliance Report: Prepare and maintain the annual compliance report, reflecting the firm's adherence to regulatory standards and internal policies. • Regulatory Interaction: Act as a key liaison with regulators such as the SEC, NFA, and FINRA, addressing inquiries, audits, and compliance examinations. • Marketing Literature: Supervise the marketing literature compliance team, ensuring that all promotional materials meet regulatory standards and firm policies. • Project Management: Lead and participate in a variety of investment adviser compliance projects, including policy development, risk assessment, and implementation of best practices.

Requirements

• 5-10 years of experience in a senior compliance role, either as a Chief Compliance Officer (CCO), Deputy Chief Compliance Officer (Deputy CCO), or in a senior position with a compliance consulting firm specializing in investment adviser compliance issues. • In-depth understanding of Rule 206(4)-7 under the Advisers Act, investment adviser regulations, and compliance processes. • Strong analytical and problem-solving skills, excellent written and verbal communication abilities, and proficiency in managing compliance systems and tools.