Investment Advisory Compliance Officer

Compliance Leadership Opportunity in Financial Services

Investment Advisory Compliance Officer


Preferred Location(s):     Atlanta, Phoenix, Oakdale, New Jersey, Omaha

Preference is given to candidates willing to work a hybrid schedule, split between home and the office. Consideration will be given to qualified applicants seeking 100% remote work from home.

Summary:

The Investment Advisory Compliance Officer for Policies and Procedures will be responsible for oversight and execution of the Firm’s RIA Compliance Program which includes but is not limited to ongoing administration, new policy formulation, risk assessment, testing and regulatory filings.  An ideal candidate must:

  • Have an excellent and thorough understanding of the securities industry, both broker/dealer and investment advisory
  • Possess well-developed analytical and project management skills, highly organized with the ability to handle multiple tasks and multiple priorities simultaneously.
  • Possess advanced skill to independently identify and analyze compliance issues
  • Work well in a fast-paced and complex collaborative environment
  • Excellent interpersonal, troubleshooting and communication skills

Responsibilities:

  • Monitor compliance with laws, rules and regulations
  • Develop & manage AG’s RIA Compliance Program
  • Coordinate and oversee the development, implementation and enforcement of policies, procedures and programs to minimize risk
  • Conduct periodic audits (i.e. risk assessment, testing) of RIA compliance policies and procedures pursuant to Rule 206(4)-7 and assist in establishing controls to mitigate risks
  • Complete regulatory filings and amendments (Annual and Other than Annual Amendments) to Form ADV, Form 13F and Form 13H
  • Prepare for and respond to regulatory inquiries, examinations, internal and external audits
  • Direct and supervise professional staff across multiple geographic locations
  • Represent RIA Compliance Department in cross functional Firm initiatives and committees
  • Provide investment advisory compliance support to RIA subsidiaries of Advisor Group
  • Be responsible for hiring, conducting performance evaluations, training, and directing the work priorities within the department
  • Research and resolve issues, provide recommendations, and escalate to senior management as needed
  • All other duties as assigned

Education Requirements:

  • Bachelor’s degree in Business, Accounting, Finance or related discipline is preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree.  Minimum of high school diploma or equivalent is required.

Basic Requirements:

  • Five+ years of relevant work experience with a financial institution such as a broker/dealer, registered investment adviser, regulatory agency, or other financial institution.
  • Significant prior experience with the Investment Advisers Act of 1940, Investment Company Act of 1940 and Securities Act of 1933
  • FINRA Series 66 (or Series 63 / Series 65) is required
  • Significant prior experience with regulatory filings, conducting risk assessments, drafting policies and procedures
  • Strong ability to build consensus among managers and employees across departments
  • Excellent project and time management skills with the ability to handle multiple priorities, meet deadlines and develop process efficiencies where required
  • Strong written and verbal communication, including the ability to communicate both up and down the management chain and to adapt your style depending on the audience and subject matter
  • Proven management and human relation skills

Preferred Requirements:

  • FINRA Series 7 and Series 24 are preferred.
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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.