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Senior Compliance Officer

2 months ago

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

About the Role:

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

Key Responsibilities:

  • Develop and implement compliance testing and monitoring programs to ensure adherence to regulatory requirements.
  • Oversee the daily operations of the Compliance team, including reviewing and revising policies and procedures.
  • Stay up-to-date with changes to Federal and State securities laws and regulations affecting our firm and its affiliates.
  • Prepare and disseminate compliance standards, policies, and procedures to ensure consistency across the organization.
  • Advising 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, and monitoring of firm trading activities.
  • Prepare and file required regulatory filings.
  • Design and monitor testing systems to ensure the efficacy of controls and surveillance programs.
  • Perform other compliance-related responsibilities and special projects as needed.

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