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Compliance Associate

2 months ago

ParsippanyTroy Hills, United States Summit Financial Full time

Job Description:

Summit Financial LLC is seeking an engaged, detail oriented and self-motivated Compliance Officer to join its Compliance Department. The Compliance Officer will be responsible for day to day compliance functions relating to our investment advisory business. The individual must have knowledge of the Investment Advisers Acts and experience with compliance responsibilities of SEC-registered RIAs in the retail space. General Responsibilities will include regulatory oversight, risk management, and policy implementation of all investment advisory relationships. Serve as a daily point of contact for other departments, financial advisors, and institutional partners.


Responsibilities:

  • Ongoing review, drafting and implementing of the Firm’s policies and procedures
  • Administering the firm’s Code of Ethics (“COE”) compliance program
  • Executing compliance program testing of policies procedures
  • Performing third party vendor and client due diligence procedures
  • Preparing and assisting with the required regulatory filings (ADV)
  • Assist with management of Independent RIA activity, compliance, and record keeping
  • Review advertising materials, including websites to ensure compliance with the SEC
  • Assist with identifying, compiling and categorizing assets for internal and regulatory reporting and SEC filings, including custody, Forms ADV, Forms 13F and 13H
  • Support internal/external business associates on investment advisory compliance issues
  • Updating, distributing, and educating financial advisors on rules and regulations
  • Assist with review and update of Investment Advisory Agreements and Forms, including custom IAAs and fee schedules inventory
  • Help to identify, prioritize, and elevate risks related to managed accounts, third party relationships, or general conflicts of interest
  • Assisting with mutual fund compliance reviews and sub-advisor oversight
  • Partnering with Operations, Systems Administration, the investment teams and other constituents to ensure continual improvement of compliance monitoring systems, processes and oversight
  • Other general compliance roles and responsibilities


Qualifications:

The Compliance Officer must possess exceptional organizational skills, attention to detail, a dedication to excellent client service and a commitment to working collaboratively with colleagues to effect risk reduction and continuous improvement in the firm’s compliance program.

  • 5+ years of relevant experience at a registered investment adviser firm, including institutional and private clients and related operations and support functions
  • Working knowledge of the Advisers Act, SEC and applicable state rules and regulations. Knowledge of securities products, investment advisory services and arrangements, and related regulatory requirements
  • Understanding of fiduciary responsibilities and appropriate disclosure of conflicts of interest
  • Proficiency in Excel, Microsoft Office, and strong data analysis skills preferred
  • Familiarity with automated third party compliance surveillance and code of ethics systems a plus
  • Familiarity with Anti-Money Laundering and Know Your Customer programs and procedures a plus
  • Financial Planning and/or Insurance product compliance knowledge a plus
  • BD knowledge a plus
  • Ability to multi-task, prioritize and perform well under pressure
  • Ability to handle confidential material with utmost discretion
  • Ability to work with minimal supervision to accomplish objectives and priorities
  • Possesses an eagerness to learn about Summit Financial and discuss Compliance issues
  • Willingness to engage in collaborative dialogue with the Compliance team in its periodic meetings
  • College degree required; JDs are welcome
  • Strong communication skills (verbal and written)


MUST HAVE EXPERIENCE:

  • Retail RIA Compliance
  • Marketing and Advertising Review
  • Compliance Testing



Pay: From $70,000.00 per year