Compliance Officer

Found in: Appcast Linkedin GBL C2 - 2 weeks ago

Salt Lake City, United States Sepio Capital Full time

JOB DESCRIPTION

ABOUT THE FIRM

Sepio Capital, LP (“Sepio”) is a multifamily office and institutional investment advisor registered with the SEC. At Sepio, our mission is to protect our clients’ assets, fortify their legacies, and guard what matters most to them. We accomplish this first and foremost by having a deep understanding of their goals and aspirations. We then employ our extensive resources and decades of investment experience to help our clients accomplish their goals. Our clients’ trust and loyalty is our greatest ambition and the reward for our labor.


ABOUT THE POSITION

The Compliance Officer will work closely with the Chief Compliance Officer (“CCO”) and our outsourced compliance consultant, ACA, to manage and execute the day-to-day operations of Sepio Capital’s compliance program, including development and implementation of policies and procedures, routine testing and ad hoc forensic testing, management of regulatory examinations and audits, internal training, and more. The Compliance Officer will work with the CCO and ACA to ensure that Sepio operates within the bounds of all applicable laws, regulations, and internal policies at the highest standard.


Successful candidates will possess both technical expertise in the area of RIA compliance as well as real-world experience applying the Investment Advisors Act of 1940 and related SEC rules in day-to-day operations. They will be a hands-on self-starter, who is continually looking to enhance our compliance program and who can successfully collaborate with all areas of the firm – from investments to client service to client advisory – to ensure adherence to our compliance program. The Compliance Officer will be responsible for enhancing Sepio’s compliance culture and providing compliance education and guidance to other team members.

  

Sepio values individuals who are passionate about their work and their professional development, committed to providing service at the highest level, and eager for a dynamic, challenging work opportunity. If you are looking for a position that will provide a unique path for growth and development, we encourage you to apply for this role.

 

Please note that this position is a primarily in-office role with some flexibility for limited remote work. 


REQUIRED QUALIFICATIONS

  • Bachelor’s degree.
  • 2-4 years of work experience.
  • Excellent writing skills, including experience writing procedures and policy documents.
  • Ability to balance multiple priorities concurrently with strong project management skills. Strong problem-solving capabilities.
  • Attention to detail, strong research skills, and ability to manage time and tasks independently.
  • Proficiency with Microsoft Office suite.

 

PREFERRED QUALIFICATIONS

  • Relevant compliance and/or financial service work experience.
  • Strong familiarity with and working knowledge of the Investment Advisors Act of 1940 and SEC rules and regulations as they relate to RIAs and day-to-day operations.
  • Familiarity with standard compliance calendar items and the tasks required for annual compliance testing.
  • Experience with SEC regulatory filings including: ADV (all parts), 13F, 13H.
  • Work experience at an RIA serving ultra-high net worth clients.
  • Exposure to compliance as it relates to private funds and their advisors.
  • Familiarity with ComplianceAlpha technology platform. 
  • JD or compliance-related credential (such as CRCM, IACCP, CSCP) and/or willingness to pursue additional credentials.
  • FINRA Series 65.
  • Experience with Wealthbox, Addepar, and RingCentral.

 

RESPONSIBILITIES

  • Work directly with the CCO and ACA to oversee all aspects of complying with the Investment Advisors Act of 1940 as well as compliance with the related rules issued by the SEC. Assist in carrying out all aspects of the compliance program and compliance calendar.
  • Conduct ongoing monitoring of the firm’s code of ethics including its personal trading, gifts and entertainment, and political contributions policies. Provide approvals for requests and generate and monitor cases for items of interest.
  • Assist with other compliance program activities, including new hire on-boarding, employee terminations, ongoing compliance training, implementation of new rules/regulations, and supporting new firm compliance initiatives.
  • Work in conjunction with ACA to perform forensic testing, including electronic communications, best execution reviews, and portfolio reviews.
  • Assist ACA and the CCO in maintaining Form ADV Parts 1, 2A, 2B, and Form CRS, and in gathering data needed for other regulatory filings such as Form PF, 13F, and 13H. Work independently to coordinate with other team members to collect, validate, and provide data required for the aforementioned filings.
  • Oversee the annual surprise custody audit, including identification of custody accounts, collection of data, and correspondence with auditor.
  • Participate in the marketing review process via ComplianceAlpha to ensure advertising materials are compliant with applicable SEC and FINRA advertising rules and Sepio’s advertising policies and procedures.
  • Assist ACA and the CCO with the completion of Sepio’s annual compliance review and risk assessment.
  • Remain knowledgeable of the current regulatory environment for registered investment advisors and private fund advisors, including staying abreast of new changes and trends impacting the firm, and for ways to prepare the firm to face such changes. Assist with the implementation of new regulatory requirements.
  • Assist as needed with all regulatory examinations and with other compliance-related tasks/projects. Serve as a resource to management and firm personnel regarding special projects and regulatory initiatives.
  • Identify process improvements and strategies for execution to assist management with achieving compliance objectives.
  • Develop a full understanding of Sepio’s structure, offerings, operations, and compliance activities, and assist in identifying risks and conflicts of interest related to Sepio’s operations and business model.
  • Conduct periodic training on policies, trends, and regulations related to advisory compliance matters.
  • Collaborate with Wealthbox admin team to ensure appropriate storage of compliance-related client data in Sepio’s CRM.
  • Coordinate with ACA on any updates or modifications needed within Sepio’s instance of ComplianceAlpha. Ensure accuracy of employee data on file. 


BENEFITS

  • Health, Dental & Vision Insurance
  • Medical and Dependent Care FSA
  • Life insurance
  • PTO
  • 401(k) and Roth 401(k) options
  • Assistance with continuing education


SALARY RANGE

Compensation offered will be determined individually, based on a number of job-related factors including location, skills, experience, and education.

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