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Senior Investment Advisor Compliance Consultant (I/A)

Full Time
Remote
Posted 2 months ago

Overview of Position

Responsible for managing relationships with Investment Advisor compliance clients and providing those clients with expert advice and guidance related to the design and execution of their compliance programs.

Key Responsibilities

  • Serve as lead relationship manager and primary client liaison with RIA compliance clients. Working directly with compliance clients to design RIA compliance programs that are consistent with SEC and/or state regulatory requirements
  • Researching SEC and/or state rules and regulations and communicating guidance to clients
  • Corresponding with regulators to research and interpret regulatory rules
  • Conducting (scheduled and ad hoc) conference calls and online meetings with Chief Compliance Officers to deliver guidance and advice with respect to regulatory best practices
  • Maintaining firm records (calendars, project workflows and status updates), accounting records and time reporting
  • Assisting clients with compliance questions and other needs
  • Using creative thinking to brainstorm new services that add value to client relationships
  • Assisting in enhancing internal workflow and processes
  • Producing and delivering externally-focused compliance content (e.g. webinars, research notes, white papers)
  • Attend conferences and meetings as requested
  • Conducts self in a professional manner
  • Responsible for reporting to senior management, including any potential or perceived violations of applicable laws, rules or Company policies
  • Other tasks and projects as assigned

Qualifications (Personal, Educational, Experience)

  • Minimum six (6) years of Investment Adviser Compliance Experience (consulting or in-house), wealth management experience a plus
  • Advanced knowledge of the Investment Advisers Act of 1940, FINRA regulations and state laws
  • Executive presence – a professional who interacts effortlessly with regulators and high-profile clients
  • Excellent oral and written communication skills
  • Detail-oriented and multi-task capability
  • Ability to travel –this role will service clients across the United States, there may be limited travel to a client a few times a year
  • Willingness to work as part of a team and to share knowledge and lead others
  • Independent Self-Starter – the ability to organize workload and meet deadlines
  • Service orientation with proven ability to provide superior customer service
  • Understanding of web-based technology applications and willingness to provide input in enhancements and new solutions
  • Ability to work both independently and as part of a team
  • Customer-focused attitude
  • Time management and organization skills, with a strong attention to detail
  • Strong written communication and oral communication skills

PHYSICAL DEMANDS and OTHER REQUIREMENTS:

Sit:                        Total hours/day     6.5           Hours at one time           2.0

Stand:                   Total hours/day     1.0           Hours at one time           0.5

Walk:                    Total hours/day     0.5           Hours at one time           0.5

This position requires strong organizational skills, the use of a computer and other common office equipment throughout the day, and the ability to maintain mental focus.

HOURS:

40 hours per week with ability to work additional hours as necessary to meet client needs.

About Foreside

Foreside Financial Group, LLC provides customized solutions to the investment management industry. Our solutions include fund, broker-dealer and adviser compliance services, distribution consulting, legal underwriting, FINRA licensing to U.S. and non-U.S. sponsors of closed-end, open-end, exchange traded funds and private placements as well as retail and institution broker-dealers and investment management firms.

Foreside’s cost-effective, personalized solutions allow our clients to focus on asset management without sacrificing distribution and compliance best practices.

Job Features

Job CategoryIA and BD Consulting
FLSA STATUSExempt

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