Compliance Director
5 days ago
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 compliance testing and monitoring program, as well as overseeing the daily operations of the Compliance department.
Key Responsibilities- Compliance Program Development: Develop and implement a comprehensive compliance program that ensures our firm's adherence to relevant laws and regulations.
- Regulatory Compliance: Stay up-to-date on changes to Federal and State securities laws and regulations, and ensure our firm's compliance with these requirements.
- Policy and Procedure Development: Assist in the revision, preparation, and dissemination of new and updated compliance standards, policies, and procedures.
- Risk Assessment and Compliance Program: Prepare an annual risk assessment, compliance program, and schedule of reviews for firm access persons, affiliates, and third-party service providers.
- Client Advisory Services: Advise clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act, 1940 Act, and other applicable regulatory directives.
- Marketing and Advertising Review: Advise on and review firm marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory requirements.
- Compliance Support: Assist affiliates in the performance of compliance functions, such as oversight of personal trading, email review, the monitoring of firm trading activities, and maintaining restricted lists.
- Regulatory Filings: Prepare and file required regulatory filings.
- Training and Development: Review, assess, devise, and conduct training of our clients' employees and management, according to client needs, particularly regarding the Advisers Act, including training on insider trading, custody, conflicts of interest, and valuation policies.
- Testing and Surveillance: 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.
- Compliance Team Management: Assist in the management of the compliance team and support staff, providing written and oral instructions to subordinates, maintaining harmony among workers, resolving grievances, and contributing to staff engagement.
- Education: Bachelor's Degree Required
- Experience: 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
- Knowledge: 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
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