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Job

Head of Compliance

A large financial services client of ours in the San Diego area is looking for a Senior Compliance Officer to take the responsibilities of handling its entire Compliance function.   

The Senior Compliance Officer will be responsible for the up-keep of the SEC’s regulatory environment and requirements. They must also demonstrate critical thinking skills, sound decision-making, work independently, and the ability to collaborate and engage with employees of all levels, including partners and regulators.  

Responsibilities of the role:

  • Assist in reviewing and ensuring that applicable policies and procedures are comprehensive, reflect the firm’s business policies and processes, and are being complied with by firm personnel
  • Assist with maintenance of the Compliance Manual, Code of Ethics, and consistent monitoring of compliance risks and requirements
  • Support regulatory registration, reporting, and filings
  • Facilitate compliance program monitoring and various testing of firm compliance policies
  • Review and facilitate updates to Firm’s marketing materials and presentations ensuring compliance with SEC and FINRA regulations
  • Provide guidance and oversight for junior members of the team
  • Communicate with employees of all levels, regulators, and consultants to ensure firm is in compliance with applicable policies and regulations
  • Oversee internal training of new and existing employees firm wide on both general compliance principles and various appropriate “hot topics” as arise
  • Work to implement Firm’s anti-money laundering program
  • Provide support for key compliance project initiatives as they arise

Requirements:

  • B.A. in Business preferred
  • 5+ years of financial service firm experience in an investment adviser related position
  • (RIA) Registered Investment Adviser experience (preferred)
  • Demonstrated understanding of SEC and regulatory environment
  • Experience in building out an AML program
  • Experience with marketing and advertising review at a registered investment advisor
  • Proven ability to manage multiple projects simultaneously
  • High degree of accuracy, detail orientation and strong problem-solving skills
  • Strong interpersonal skills in a team environment and ability to communicate across departments

This role has tremendous upward mobility and if you are interested please get in touch with an updated resume.