Senior Compliance Associate

1 month ago

Lombard, United States Forum Financial Management, LP Full time

Sr. Compliance Associate


Forum Financial Management, LP

WWW.FORUMFINANCIAL.COM


Forum Financial Management, LP is a rapidly growing Registered Investment Advisory Firm (RIA) with more than $8.5 billion in assets under management. Forum was founded in 2002 and became an independent RIA advisory firm in 2009. At Forum, we use a highly diversified investment strategy derived from decades of academic research. While this strategy has been called many things, we think the term “evidence-based investing” best describes this approach. We strive to take the emotions out of investing and counsel clients to avoid making short-sighted moves based on current market conditions.


We are in search of a candidate to join our Compliance team. This person will assist the Chief Compliance Officer (CCO) with the monitoring, documentation, and supervision of running our SEC-registered Investment Advisory Firm.


ESSENTIAL DUTIES AND RESPONSIBILITIES:

· Perform testing and reviews of compliance policies and procedures, analyze the data to help identify risks and work with the compliance team to develop corrective actions.

· Participate in the monitoring of risk assessments and advisor supervision for the compliance program.

· Participate in the process of updating the firm’s SEC registration documents (Form ADV, CRS) and individual advisor registrations (U4 filings and ADV Part 2B).

· Assist in managing regulatory filings and various audits, such as 13H, 13F, Form N-PX, annual custody audit and the DOL PTE 2020-02 retrospective review.

· Partner with the marketing team to serve as a content reviewer and approver from a compliance standpoint (e.g. client communications, advisor presentations, marketing pieces, social media archives/posts, ranking applications)

· Collaborate with the operations team for testing and reviews of trading and operational procedures.

· Assist with the daily management of the firm’s My Compliance Office platform and Compliance email inbox.

· Participate in the annual branch office reviews for 50+ branch offices.

· Assist in developing and managing the compliance resources available within the firm’s intranet.

· Assist with the new associate and advisor compliance trainings and affirmations


MINIMUM KNOWLEDGE, SKILLS, AND ABILITIES

· Bachelor’s degree or equivalent experience required.

· Experience in compliance with a SEC or State Registered Investment Adviser, FINRA, or equivalent experience at a financial institution is desired.

· Knowledge of the Investment Advisers Act of 1940.

· Demonstrates proficiency with the use of software applications (Microsoft Office Suite) without assistance and with minimal supervision.

· Ability to be proactive and follow up to resolve issues.

· Demonstrate sound judgment and apply logical and critical thought processes when developing and recommending solutions.

· Ability to work independently and meet deadlines.

· Ability to effectively interact and communicate with all levels of staff.

OTHER SKILLS

· Possesses ability to maintain professional composure in fast-paced work environment that often requires the management of multiple and competing priorities.

· Ability to work well with others and demonstrates willingness to be a contributing and engaged team member by sharing knowledge, working towards common goals and maintaining a positive attitude.

· Professional-level communication, listening, organizational, prioritization, and problem-solving skills

· Strong work ethic, ability to multitask, efficient time management, and detail-oriented

· Ability to be proactive and to possess strategic thinking skills

· Ability to manage change, anticipate needs, adapt and be flexible


Why work for Forum Financial Management?

We are a rapidly growing organization with a competitive total rewards package, continuing education & training, and tremendous career potential. This role will be critical in driving the future growth of the firm as we are only as successful as a firm as our advisors are individually.


Benefits- we offer a full benefits package including health (PPO, HMO, HSA, and FSA), Dental, Vision, Disability, and Life Insurance.


401k – we offer a 401k plan that includes an automatic company contribution of 5% of salary.


PTO – employees start off with 18 days plus 2 floating holidays they can use at any given time.


Flexible work schedule -we offer a hybrid working schedule and require our employees to report to the office once a week. (Any day that works best for you).


Professional Development- Forum wants to grow our talent from within and we recognize the role that professional development plays in that. We help our employees identify professional development goals each year and we offer several ways for employees to build their individual skillset.


Employee Engagement – employee engagement is very important to Forum, and we believe our employees are our greatest assets, so we strive to host quarterly cultural building activities, monthly office luncheons, and other activities to increase productivity within the company.


Forum Financial Management, LP believes that all persons are entitled to equal employment opportunity and does not discriminate against nor favor any applicant because of race, sex, color, disability, national origin, gender identity/expression, actual or perceived.

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