Compliance Specialist

2 days ago


Charlotte, North Carolina, United States Larson Maddox Full time
Compliance Specialist

Larson Maddox is seeking a highly skilled Compliance Specialist to join their legal and compliance team. This is an exciting opportunity to be part of a growing registered investment advisor as they expand their operations in the Southeast.

Key Responsibilities:
  • Enforce compliance policies, including the Code of Ethics, employee certifications, regulatory filings, and document retention.
  • Monitor personal and firm trading, maintain restricted lists, manage various logs, conduct document review and upload, call monitoring, approve expert networks, and communicate regularly with third-party brokerage firms.
  • Assist in the annual review and training of compliance policies, as well as conduct reviews of the compliance program and regulatory updates for Compliance Committee meetings.
  • Conduct back testing related to expense allocations, trade allocation exceptions, managed accounts, and personal trading accounts.
Requirements:
  • Strong academic background.
  • 2-4 years of relevant experience in accounting firms, financial institutions, consulting firms, or regulatory agencies.
  • Professional and able to handle confidential information with trustworthiness.
  • Excellent interpersonal and communication skills, both written and verbal.
  • Strong analytical skills, attention to detail, organizational abilities, and proven multitasking capabilities.
  • Ability to work effectively under pressure in a fast-paced environment.
  • Self-starter, capable of working independently and quick to learn.


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