A registered investment advisor is looking for you to be it's next Compliance Senior Manager! This is an exciting time to join the firm as they have a CCO who covers the broker dealer side of the business, and are looking for someone to come in and lead the advisory side. If what is below matches the next step in your career, apply now!
The Compliance Senior Manager will have the following responsibilities:
- Analyze and assess policy and regulatory changes and the impact such changes will have on the firm, providing guidance, applicable frameworks and necessary deliverables (including project plans, updated policies and supporting collateral, communications, or training materials).
- In partnership with other members of the Compliance Department, develop and refine control testing on all procedures.
- Conduct forensic testing to ensure 206(4)-7 compliance.
- Work closely with the firm's Broker Dealer.
- Be responsible for regulatory filings such as the annual ADV and quarterly 13f filings.
- Prepare for and respond to regulatory inquiries, examinations, internal audits and other reviews.
The Compliance Senior Manager should have the following qualifications:
- 5 to 10+ years of compliance experience working for a registered investment advisor.
- Bachelors Degree or higher education.
- Knowledge regarding the Investment Advisers Act of 1940.
- FINRA licenses: S65 or S66 required.Additional licenses are a plus.
- Ability to write high-quality policies and procedures in a simple, clear, and concise manner.
- Ability to identify and clearly translate complex regulatory risks and rules into easily consumable and actionable project plans and resulting policies.
If you're looking for a Compliance Senior Manager role in Atlanta with a fast growing RIA, don't wait to apply in!
