- Atlanta, GA, USA
- Permanent, Full time
- Michael Page International - US
- 11 Feb 19
The Atlanta-based Compliance Officer will provide primary registration and compliance advisory support for the Firm's Wealth Management and Strategic Advisory businesses, as well as to maintain the registration status of the Firm's broker-dealer.
The client is a well-established successful Investment Advisory firm with over $15billion AUM, providing a diverse range of banking and financial services with a main office in New York and multiple hubs across the Americas, including San Francisco.
Key responsibilities for the Atlanta-based Compliance Officer are:
- Participate in the execution of internal strategies, policies, procedures, processes and programs to prevent violations of law, rule or regulation
- Support broker dealers from a legal and regulatory perspective
- Maintain the Compliance File of the Employee Regulatory Files from a books and records perspective
- Ensure that required regulatory filings are prepared and filed with FINRA and other regulators in a timely manner
- Collaborate with Business Leaders to provide guidance on regulatory matters and continually enhance the framework to identify, assess, monitor and control regulatory communication
- Support legal and compliance infrastructure as a newly registered broker dealer, including: its policies and procedures, technology platforms, including a new conflicts management system, and facilitate in the build out of a highly effective Compliance Team
- Participate in annual branch office Compliance exams
- Monitor employee personal securities transactions for compliance with the Code of Ethics, R&Co's Policy on insider trading and applicable laws.
- Assist the firm's Legal Department, as required, with the preparation of discovery documents
- Participate in registration and continuing education related projects and programs
- Identify, evaluate and escalate regulatory risks affecting R&CO's that relate to investment management, including assisting with the review of business practices and procedures to confirm with regulatory requirements and to mitigate risks.
- Respond to all FINRA inquiries and requests for information on all public transactions, and worked with clients to address potential conflicts of interest issues.
A successful Compliance Officer must have:
- A thorough knowledge of FINRA regulations as they relate to account opening, lending, margin, client suitability and supervision.
- General knowledge of applicable Fed Regulations such as Regulations B, T, U, W, Y and Z, is necessary.
- Bachelor's degree
- 5+ years of experience handling regulatory issues, risk management in a legal department or audit capacity
- Experience implementing processes, controls and/or compliance activities for new/changing business models, services and/or technologies
- Strong written and oral communication skills
- Strong analytical skills and the ability to work well independently as well as part of a team, professionalism and ability to multi-task and prioritize.
- Discretion, detail-oriented and strong knowledge of investment Advisers Act of 1940 and the Investment Company Act of 1940
- Working knowledge of Microsoft Word, Excel, Access and Powerpoint
- Competitive base salary
- Discretionary bonus structure
- Additional benefits