Compliance Manager

2 months ago

Pierce, United States The Ladders Full time
Job Type

Full-time

Description

A client-facing and fast-paced role, the Compliance Manager will provide regulatory consulting and support to the rapidly growing Dynasty Network of registered investment advisers (RIAs), under the supervision of the team leader of Network Compliance. This individual will help manage the build out of a custom compliance offering leveraging the best practices utilized within the Dynasty Network of RIAs. The successful Compliance Manager will be viewed as a "go to" person when compliance questions arise from Network RIAs.

The Compliance Manager will also be expected to provide some support to Dynasty's internal compliance initiatives typically associated with the operation of an RIA and BD compliance program and will work in tandem with the VP of Internal Compliance and team.

RESPONSIBILITIES:
  • Support the Dynasty's Network of independent RIAs; assist the Network Compliance team in driving the Dynasty Compliance Offering
  • Assist in developing compliance programs and best practices for the Dynasty Network of RIAs
  • Project management of process improvement initiatives taking independent lead with support from team leader
  • Interact with Dynasty's compliance resource providers and assist in achieving quality and uniformity in the deliverable.
  • Perform ongoing diagnostic reviews of the Network RIA compliance programs and regulatory exams.
  • Follow up on internal and regulatory deficiencies within the Network to ensure proper procedures and controls are in place for Network teams.
  • Keep up to date on SEC Rules and other regulations that may impact the Network RIAs
  • Supervise compliance personnel who support the department
  • Communicate important compliance matters or other Network developments in a timely manner to the Network Compliance team and Dynasty management.
  • Train internal and Network Compliance employees on compliance policies and procedures.
  • Assist Network RIAs with SEC exams and other regulatory requests
  • Comfort presenting to large audiences in person and in digital forms including but not limited to conferences, webinars, and recorded trainings.
Requirements
  • Bachelor's degree or equivalent experience
  • 4-6 years of experience supporting the compliance program of an RIA and/or working for the SEC with respect to RIAs
  • Substantial knowledge of the Investment Advisers Act of 1940 and ERISA
  • "Clients first" mentality
  • Familiarity with regulatory and operational framework of RIAs
  • Experience with the creation, formation, and launch of investment adviser entities
  • Superior communication skills, written and spoken, for both one to one and larger audiences.
  • Strong organizational skills
  • Self-starter that can independently take a project and move it forward without manager intervention
  • Strong attention to detail and analytical skills
  • Able to manage multiple tasks in a fast-paced business environment.
  • Some domestic travel to visit the offices of the Network RIAs, as necessary.
BENEFITS
  • Health Insurance
  • Dental insurance
  • Vision insurance
  • Retirement plan 401(k)
  • 401(k) matching
  • Paid Time Off
  • FSA/HSA benefits plans
  • Disability benefits
  • Voluntary Life Insurance
  • Basic Life Insurance


EQUAL EMPLOYMENT OPPORTUNITY ?Dynasty Financial Partners is committed to providing equal employment opportunities and ensuring that all employment-related decisions are made without regard to race, color, sex, age, national origin, religion, physical or mental disability (unrelated to the ability to perform job duties) veteran status, or any other protected status under applicable law.

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