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Compliance Officer

2 months ago

richmond, United States RiverFront Investment Group Full time

The Compliance Officer will provide assistance to the Chief Compliance Officer (“CCO”) in the implementation and maintenance of RiverFront’s Investment Adviser compliance program. The Compliance Officer works with the CCO, Due Diligence Analyst, and the Trading, National Accounts, Sales, and Marketing teams to complete projects.

 

Responsibilities 

  • Support the CCO with the administration and maintenance of the firm’s compliance program, which is designed to help promote a robust control and compliance environment and to help ensure compliance with securities laws and regulations.
  • Conduct ongoing testing of the compliance program to ensure RiverFront is adhering to its policies and procedures
  • Coordinate and review U-4 and U-5 filings, monitor CE requirements, training requirements, outside business activities and personal trading for associates
  • Assist and review responses to new business RFPs and annual/quarterly/monthly due diligence questionnaires; provide regular internal updates regarding the progress. 
  • Collaborate with portfolio managers and internal subject matter experts (HR, compliance, business services, marketing, etc.) to write accurate descriptions of RiverFront’s policies and procedures. 
  • Review and approve marketing materials which include weekly, monthly and quarterly general market commentaries, emails, and videos. 
  • Assist the CCO with the firm’s responses to regulatory requests. 
  • Complete special projects and other tasks as assigned by the Chief Compliance Officer and coordinate efforts with various business and product teams.

 

Experience and Education 

  • Undergraduate degree in business, finance or a related field.
  • 5+ years compliance or operations experience with financial services firms is preferred.
  • FINRA Series 7 and 24 desired, or willingness to take exams and capability to pass the exams. 
  • General knowledge of managed accounts and wrap fee programs a plus.
  • Experience analyzing and applying Securities and Exchange Commission (“SEC”) rules and standards is preferred
  • Prior experience with an investment advisor or regulatory knowledge of the Investment Advisers Act is desirable. 

 

Competencies

  • Independent thinking skills, strong research skills, and ability to proactively identify solutions are required. 
  • Exceptional organizational skills required. Ability to meet designated deadlines is also a critical qualification. 
  • Proven ability to collaborate on multiple projects by using available resources such as shared calendars, Microsoft Teams, and project management tools such as Jira. 
  • Successful experience handling demanding or time sensitive tasks by coordinating with manager and teammates, proactively managing schedules or conflicts, and communicating frequently with internal customers.
  • Ability to utilize effective communication to develop cross-functional relationships, solicit feedback on performance, understand complex directions, and provide updates to stakeholders.