Financial Services Compliance Specialist

4 weeks ago

Wethersfield, United States Johnson Brunetti Retirement & Investment Specialists Full time

Financial Services Compliance Specialist


Are you looking to grow and be part of a successful financial services team? Are you driven, self-motivated and client-focused while ensuring rules and regulations are followed? Our well-established and growing financial firm is expanding and seeking to add to our Compliance team.


Minimum Requirements


·        Bachelor’s Degree in Business, Economics or Finance

·        3-5 years of RIA Compliance experience (Retail Investment Advisor Experience) with relevant experience in advertising review compliance

·        Experience in responding to SEC and State Regulatory inquiries is a plus

·        Strong working knowledge of the Investment Advisor’s Act of 1940

·        Understanding of the RIA structure and business acumen

·        Strong organizational, prioritization, interpersonal & management skills

·        Ability to work in a fast-paced, evolving environment with minimal supervision


Position Responsibilities


Work in conjunction with the Chief Compliance Officer to manage the day-to-day requirements of the Compliance team’s responsibilities including:

·        Review Marketing/Advertising materials to ensure compliance with the SEC’s “New Marketing Rule”, Rule 206-(4)-1.

· Manage the Code of Ethics, including providing direction to employees for adherence to the COE.

·        Interact with Supervised Persons to provide direction for adherence to the Cybersecurity policy and

Identity Theft Prevention program including performing related audits and training.

· Conduct regular due diligence, and receive regular updates of the IAR’s service providers, third-party money managers, and sub-advisors, including ensuring compliance with our Information Security and Privacy policies.

·        Manage the email monitoring and archiving vendor relationship and be responsible for the archiving

of electronic correspondence and social media platforms and the periodic review of e-mails and social media for adherence to applicable securities laws.

·        Perform IAR registrations and updates, U4/U5 updates, Section 13 filings, state notice filing

requirements, and state insurance licensing requirements.

·        Review and submit annual updates and amendments to the RIA’s Form ADV 1A, 2A and CRS.

·        Document and analyze verbal and written complaints by reviewing details of client interactions and maintaining a Complaint spreadsheet and associated books and records.

·        Perform audits and testing of the RIA’s policies and procedures.

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