Senior Compliance Analyst
Investment Management Company
Greater Cleveland Area – Relocation Assistance Available
We are representing a investment management company. This position will be based in Woodmere, Ohio.
Why Join Us:
- Company is on track to double in revenue by 2020.
- Great benefits package including: Generous PTO, Paid Holidays, Medical and 401k with excellent company match
- Employee driven work environment – social events, philanthropy opportunities, tuition reimbursement, etc.
- Projected employee headcount growth of 20% over the next year leaving room for career growth and progression.
- Reports directly to the Chief Compliance Officer
- Manage daily responsibilities and functions related to the Broker-Dealer and RIA compliance programs
- Participate in internal and external audits as needed (annual financial audits, AML audits, etc.)
- Will act as the main point of contact for Representatives and Advisors with compliance related issues
- Handle individual licensing/registration (Registered Representative, NRF and IAR)
- Assist with on-boarding process, including training individuals as necessary on broker/dealer policies and procedures as well as RIA compliance policies.
- Review current laws and regulations relevant to broker/dealer and RIA activities and assist in developing compliance policies, procedures and processes as necessary.
- Prepare regulatory filings and forms (Form U4s, Form U5s, DRP filings, etc.)
- Perform marketing and advertising reviews
- Education: Bachelor’s degree
- 5+ years of relevant experience in a broker/dealer and RIA compliance environment
- Minimum requirement: Series 7 or 62 and Series 63 FINRA licenses
- Limited travel required as needed for Audits
- Relocation assistance available.
- Please send resumes Brianna Burns at firstname.lastname@example.org
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