Compliance Specialist

4 weeks ago

Independence, United States MAI Wealth Management, Inc. Full time
Job DescriptionJob Description

GENERAL JOB DESCRIPTION

This position will work with the Chief Compliance Officer (CCO) and the rest of the Compliance Team to support activities within the compliance department. The activities will support the comprehensive compliance program and will vary.

MAJOR DUTIES AND RESPONSIBILITIES

  • Assist with administering the Code of Ethics
  • Maintain CRM compliance fields to ensure accuracy.
  • Maintain meeting notes and schedule committee meetings.
  • Conduct compliance testing and surveillance
  • Assist with sub-advised mutual fund monitoring and reporting.
  • Assist with regulatory filings, including updates to Forms ADV2Bs
  • Assist with RFP responses and Client Due Diligence/Compliance Questionnaires
  • Assist with special projects assigned to Compliance.
  • Evaluate compliance reports, findings and potential compliance violations.
  • Perform any other functions which may be required to support the compliance program.

EXPERIENCE/CREDENTIALS

  • Degree in business, finance or a related field, or comparable industry experience
  • 3+ years’ experience in the administration, operations or compliance industry, preferably with a Registered Investment Adviser
  • Able to use and learn a variety of software technologies.
  • Knowledge of and experience using systems such as Schwab Compliance Technologies (SCT), Advent APX/Moxy/Rules Manager, and/or FactSet preferred.
  • Additional skills in Microsoft Dynamics CRM and/or MS Office, especially Excel Pivot Tables
  • Ability to extrapolate data from various systems for analyses.

COMPETENCIES

  • Ability to multi-task, prioritize and meet deadlines in a demanding environment.
  • Ability to interpret regulations and apply to business.
  • Strong interpersonal, verbal, and written communication skills
  • Maintains absolute confidentiality of all client information and safeguards client and firm data; maintains high ethical standard in all practices.
  • Professional and positive demeanor, superb work ethic, high level of personal ethics and integrity


FEATURED BENEFITS:

  • Medical Insurance
  • Dental Insurance
  • Vision Insurance
  • 401(k)
  • Health Savings Account
  • Paid Maternity Leave
  • Paid Parental Leave
  • Tuition Reimbursement

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