Investment Advisory Director

2 days ago


New York, New York, United States Tandym Group Full time
Investment Advisory Associate Director

A financial services firm, Tandym Group, is seeking an experienced professional to fill the role of Investment Advisory Associate Director.

Key Responsibilities:
  • Collaborate with client personnel on compliance matters
  • Advise clients on compliant business practices and establish a compliance program
  • Develop and maintain Compliance Manuals and Code of Ethics Procedures
  • Draft Form ADV amendments and assist in regulatory examinations
  • Participate in SEC mock exams and create RIA and client relationships through networking
  • Perform other duties as needed
Qualifications:
  • Bachelor's degree in a related field
  • 3-5 years of direct RIA experience
  • Demonstrated understanding of the Investment Advisors Act of 1940
  • Solid analytical and research skills
  • Excellent communication, writing, and interpersonal skills
  • Strong attention to detail and organizational skills
  • Adaptable personality to work with a diverse client base
Desired Skills:
  • Broker-dealer compliance experience
  • Experience in various types of RIA business lines


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