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Director of Risk and Compliance Expert

2 months ago

Trenton, New Jersey, United States Gladstone Wealth Partners Full time
About Gladstone Wealth Partners

We are committed to providing a holistic approach to financial planning and delivering exceptional service to our clients, empowering them to prioritize and pursue their long-term financial goals. Our team fosters professional relationships built on integrity, trust, and personalized service.

Job Summary

As the Director of Risk and Compliance at Gladstone Wealth Partners, you will play a pivotal role in shaping our compliance and risk management framework. You will work closely with the Chief Compliance Officer to navigate regulatory examinations, internal audits, and interactions with key governmental officials, all while enjoying the flexibility of a remote position.

Primary Responsibilities:
  • Strategic Compliance Leadership: Collaborate with the CCO to oversee risk and compliance for our high-performing RIA entities.
  • Policy Innovation: Design and refine cutting-edge policies and procedures in response to regulatory changes and evolving business needs.
  • Comprehensive Policy Review: Conduct thorough annual reviews to ensure the effectiveness of our compliance framework as mandated by Rule.
  • Risk Analysis: Collaborate on annual risk assessments, identifying trends and crafting strategic remediation plans.
  • Regulatory Mastery: Manage all facets of FINRA and IARD regulatory filings (Forms ADV, 13F, 13h, U-4, etc.).
  • Regulatory Engagement: Assist the CCO in navigating regulatory inquiries, examinations, and internal audits.
  • Ethics Administration: Oversee the Investment Adviser Code of Ethics in line with Rule 204A-1.
  • Best Execution Analysis: Lead the annual review of best execution practices.
  • Vendor Partnerships: Innovate with vendors to enhance compliance systems, addressing the firm's evolving needs.
  • System Integration: Spearhead the implementation and ongoing maintenance of compliance systems, ensuring seamless integration across departments.
  • Due Diligence: Scrutinize due diligence documentation for vendors, custodians, product sponsors, and independent portfolio managers.
  • Training & Development: Develop and deliver engaging training programs on regulatory and compliance issues for new and existing team members.
  • Branch Oversight: Conduct thorough examinations of branch offices to ensure compliance standards are upheld.
  • Documentation Excellence: Draft and update Form ADV 2B Brochure Supplements for our investment adviser representatives.
Primary Skills and Requirements:
  • Hold the following securities registrations (and/or willingness to quickly obtain any missing securities registrations from this list): 4, 7, 24, 53, 63, and 65 (or Series 66).
  • Have a strong understanding and working knowledge of the Investment Advisor's Act of 1940.
  • Have a strong knowledge of retail brokerage, annuity, and alternative products, as well as prudent investor standards.
  • Exhibit excellent writing and communication skills.
  • Be able to stay informed of the evolving regulatory and financial landscape.
  • Have a strong understanding of the risks related to registered investment advisors and how those relate to and potentially impact the firm, with the ability to analyze potential compliance challenges and develop action plans to respond to them.
  • Exhibit excellent judgment and time management.
  • Be able to work in a time-sensitive environment and make quick decisions.