IA Deputy Chief Compliance Officer

Registered Investment Adviser (RIA) Compliance Opportunity in Financial Services

Investment Advisory Deputy Chief Compliance Officer


Location:               10 Exchange Place, Jersey City, NJ 07302

INTERNAL APPLICANTS:  All qualified internal applicants, irrespective of location, will be considered for all internally posted roles at this time.  Compensation range displayed in internal postings is the national average, and compensation decisions will be employee-location based. 

Summary:

We are looking for an Investment Advisory Deputy Chief Compliance Officer to join our team and be part of something great.  We have an outstanding career opportunity for a driven, successful leader with at least 10 years of increasing management responsibility in the securities industry, both broker-dealer and investment advisory.  The ideal candidate will spend their days managing the RIA Compliance Program

Responsibilities:

  • Ensure appropriate regulatory policies, procedures and controls are established, maintained, and well documented
  • Manage and develop a team of RIA Compliance Analysts professionals
  • Prepare for and respond to regulatory inquiries, examinations, internal audits and other reviews
  • Partner with the Legal team to proactively analyze and manage changes to regulatory requirements
  • Develop and deliver education on compliance policies and procedures to ensure proper understanding of regulatory risks and responsibilities
  • Provide guidance and support to our financial advisors and business partners
  • Represent RIA Compliance Department in cross functional firm initiatives
  • All other duties as assigned

Education Requirements:

  • Bachelor's degree from a four-year college or university is required.

Basic Requirements:

  • Expertise in Investment Adviser’s Act of 1940 and general knowledgeable in other financial regulations;
  • At least ten years of relevant work experience with strong knowledge of the Investment Advisers Act of 1940;
  • Demonstrated experience with Rule 206(4)7 testing, conducting risk assessments, updating Form ADV, as well as drafting policies and procedures;
  • Ability to manage and effectively influence while providing advice and guidance;
  • Advanced Skill to independently identify and analyze compliance issues;
  • Strong Ability to build consensus among managers and employees across departments;
  • Advanced knowledge of RIA and industry regulation;
  • Proven management and human relations skills;
  • Proficiency with Windows programs: EXCEL, OUTLOOK, WORD;
  • Excellent oral and written communication skills;
  • Strong critical thinking skills and be an ardent problem solver;
  • Series 65 or 66.

Preferred Requirements:

  • Advanced Degree or Certifications
  • Series 7 and 24
Be A Part Of The Team Behind Our Success!

At Advisor Group, we support more than 11,000 financial advisors, the people who help everyday Americans achieve their dreams. We’re a billion-dollar business with the mentality and drive of a startup. Join us in building something special.

Equal Opportunity Employer

Advisor Group is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.

Eligibility

Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Advisor Group.

Unqualified Applications

Advisor Group does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.

Recruiting Agencies

Advisor Group only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.