Senior Compliance Associate

7 days ago

Reston, Virginia, United States Forum Financial Management, LP Full time

Compliance Role at Forum Financial Management, LP

Forum Financial Management, LP is a rapidly growing Registered Investment Advisory Firm (RIA) with over $8.5 billion in assets under management. Our firm was founded in 2002 and became an independent RIA advisory firm in 2009. We use a highly diversified investment strategy derived from decades of academic research, which we call "evidence-based investing." Our goal is to remove emotions from investing and advise clients to avoid making short-sighted decisions based on current market conditions.

We are seeking a skilled Compliance professional to join our team. This individual will assist the Chief Compliance Officer (CCO) in monitoring, documenting, and supervising our SEC-registered Investment Advisory Firm.

Key Responsibilities:

· Perform thorough reviews of compliance policies and procedures, analyze data to identify risks, and work with the compliance team to develop corrective actions.

· Participate in risk assessments and advisor supervision for the compliance program.

· Assist in updating the firm's SEC registration documents (Form ADV, CRS) and individual advisor registrations (U4 filings and ADV Part 2B).

· Manage regulatory filings and various audits, such as 13H, 13F, Form N-PX, annual custody audit, and the DOL PTE 2020-02 retrospective review.

· Collaborate with the marketing team to review and approve content from a compliance standpoint (e.g., client communications, advisor presentations, marketing materials, social media archives/posts, ranking applications).

· Work with the operations team to test and review trading and operational procedures.

· Assist with daily management of the firm's My Compliance Office platform and Compliance email inbox.

· Participate in annual branch office reviews for 50+ branch offices.

· Develop and manage compliance resources available within the firm's intranet.

· Assist with new associate and advisor compliance trainings and affirmations.

Requirements:

· Bachelor's degree or equivalent experience required.

· Experience in compliance with a SEC or State Registered Investment Adviser, FINRA, or equivalent experience at a financial institution is desired.

· Knowledge of the Investment Advisers Act of 1940.

· Proficiency with software applications (Microsoft Office Suite) without assistance and with minimal supervision.

· Ability to be proactive and follow up to resolve issues.

· Sound judgment and logical, critical thought processes when developing and recommending solutions.

· Ability to work independently and meet deadlines.

· Effective interaction and communication with all levels of staff.

Why Work for Forum Financial Management, LP?

We offer a competitive total rewards package, continuing education & training, and tremendous career potential. This role will be critical in driving the future growth of the firm as we are only as successful as our advisors are individually.

Benefits: We offer a full benefits package including health (PPO, HMO, HSA, and FSA), Dental, Vision, Disability, and Life Insurance.

401k: We offer a 401k plan that includes an automatic company contribution of 5% of salary.

PTO: Employees start off with 18 days plus 2 floating holidays they can use at any given time.

Flexible Work Schedule: We offer a hybrid working schedule and require our employees to report to the office once a week.

Professional Development: Forum wants to grow our talent from within and we recognize the role that professional development plays in that. We help our employees identify professional development goals each year and we offer several ways for employees to build their individual skillset.

Employee Engagement: Employee engagement is very important to Forum, and we believe our employees are our greatest assets, so we strive to host quarterly cultural building activities, monthly office luncheons, and other activities to increase productivity within the company.

Forum Financial Management, LP believes that all persons are entitled to equal employment opportunity and does not discriminate against nor favor any applicant because of race, sex, color, disability, national origin, gender identity/expression, actual or perceived.

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