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Compliance Manager

2 months ago

Phoenix, Arizona, United States Magellan Financial & Insurance Services, Inc. Full time

Job Summary:

Magellan Financial & Insurance Services, Inc. is seeking a highly skilled Compliance Manager to join our team. As a key member of our compliance department, you will be responsible for developing and implementing our firm's compliance testing and monitoring program, as well as overseeing the daily operations of the Compliance department.

Key Responsibilities:

  • Develop and implement compliance testing and monitoring programs to ensure adherence to regulatory requirements.
  • Oversee the daily operations of the Compliance department, including managing a team of compliance professionals.
  • Stay up-to-date on changes to federal and state securities laws and regulations affecting our firm and its affiliates.
  • Assist in the revision, preparation, and dissemination of new and updated compliance standards, policies, and procedures.
  • Prepare annual risk assessments, compliance programs, and schedules of reviews for firm access persons, affiliates, and third-party service providers.
  • Advise clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act, 1940 Act, and other applicable regulatory directives.
  • Review and advise on firm marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory requirements.
  • Assist affiliates in the performance of compliance functions, such as oversight of personal trading, email review, monitoring of firm trading activities, and maintaining restricted lists.
  • Prepare and file required regulatory filings.
  • Review, assess, devise, and conduct training of our clients' employees and management on regulatory requirements, including insider trading, custody, conflicts of interest, and valuation policies.
  • Design and monitor testing systems to ensure the efficacy of controls and surveillance programs, including the consultation and implementation of relevant technology and technology infrastructure.
  • Perform other compliance-related responsibilities and special projects as needed.
  • Attend periodic training to receive information about various developments in securities laws and advisory services and participate in an exchange of ideas and problems.

Requirements:

  • Bachelor's Degree Required
  • 5-7 years of relevant compliance experience at a registered investment adviser or investment consulting firm, experience with investment advisory and registered investment companies preferred
  • Strong working knowledge of the Advisers Act and the 1940 Act.
  • Knowledge of SEC Exam practices, experience with SEC exams and mock exams preferred.
  • Knowledge of CFTC / NFA as well as FINRA requirements is a plus.

What We Offer:

  • Our salary is commensurate with position and experience. Annual bonus available.
  • We offer comprehensive benefits, including health, dental, vision, ancillary benefits, and a highly competitive 401(k) plan.
  • Paid Time Off (Vacation, Sick & Public Holidays)
  • Family Leave (Maternity, Paternity)
  • Fun work environment with dynamic team