Firm Summary: Independent Broker-Dealer firm based in Buckhead, GA. They provide a suite of BD, Technology services and Support to over 200+ Financial Advisors. Financial advisors use their broker-dealer platforms to manage their book of client assets, accounts.
Firm Accolades: Financial Planning has ranks this firm among the nation’s top IBDs, and Investment News, named them as one of the fastest-growing IBD's in the country. They are fast growing and have doubled in size over the past year. Great culture of people working and growing together to support their Financial Advisors. Opportunity to move up in the ranks quickly as firm expands in size and operations.
Position Summary: Work with client executive management and assist in building compliance procedures and processes to navigate the RIA's in its heavily regulated industry. You will also spend time communicating with our Advisors. Advisor communication is imperative as we strive to provide superior customer service and communications with our branches and licensed personnel.
- Analyze and assess policy and regulatory changes and the impact such changes will have on the Client, 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.
- Develop and implement compliance programs and procedures to safeguard the Client’ operations.
- Partner with cross-discipline team members to support collaboration.
- Coordinate with third party managers and fintech relationships.
- Conduct forensic testing to ensure 206(4)-7 compliance.
- Work closely with the Client Capital, 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.
Previous Experience: 8 years or more 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.
- Bachelor’s degree or equivalent experience.
- Excellent knowledge of SEC Rules as they relate to the Client’ business model.
- Ability to write high-quality policies and procedures in a simple, clear, and concise manner.
- Ability to analyze and research regulatory requirements with the critical process understanding of business practices and implications and assist with the continued refinement of a supervisory control framework.
- Ability to identify and clearly translate complex regulatory risks and rules into easily consumable and actionable project plans and resulting policies.
- Responsiveness and proactive actions, able to own tasks from start to finish.
- Proficiency in EXCEL.
Benefits: Year End Discretionary Bonus, 401(k), Health insurance, Paid time off