Regulatory Compliance Specialist
1 week ago
Fiducient Advisors, a leading investment consulting firm, is seeking an experienced Regulatory Compliance Specialist to join its team.
The successful candidate will be responsible for ensuring the firm's compliance with applicable regulatory requirements, collaborating with the Compliance Manager on initiatives that drive new efficiencies, and serving as the primary day-to-day compliance partner to the firm's marketing team.
Responsibilities- Review and ensure compliance of the firm's marketing campaigns, presentations, market commentaries, RFP responses, marketing-related website content, and ad hoc marketing pieces with all regulatory requirements.
- Work with business teams to implement regulatory changes impacting marketing.
- Interpret, advise, administer, and monitor the Firm's Code of Ethics for personal trading, including all required employee reporting requirements.
- Assist with electronic communication reviews.
- Support the Compliance Manager in conducting compliance testing on the firm's policies and procedures.
- Assist with the preparation and submission of regulatory filings and disclosure documents.
- Provide support for internal and external audits and examinations.
- Conduct oversight and due diligence on critical vendors.
- Assist with trade error review and monitoring.
- Assist with the revision of policies and procedures.
- Assist with annual and ad hoc compliance training.
- Bachelor's degree and 3-8 years of investment advisory compliance experience required.
- Minimum 3 years of experience conducting marketing reviews for an investment adviser.
- Strong experience working with Institutional marketing in conducting compliance review of marketing materials required.
- Working knowledge of compliance systems for personal trading and marketing reviews.
- Experience with Investment Advisers Act of 1940, ERISA, and knowledge of SEC rules and regulations required.
- Proficiency in Microsoft Suite.
- Fiducient Advisors offers a competitive salary range of $80,000 - $120,000 per year, based on experience.
- A generous PTO policy with optional rollover, plus 10 holidays and additional half days off for specific holidays throughout the year.
- A comprehensive benefits package, including health insurance, 401(k) plan with company match, and cell phone reimbursement program.
- Ongoing professional development opportunities, including professional designation reimbursement and mentorship program.
- An inclusive and equitable work environment, committed to diversity, equity, inclusion, and anti-racism principles.
Fiducient Advisors is a CFA Institute DEI Signatory, committed to driving DEI progress in a meaningful way. We are an Equal Opportunity Employer, providing equal opportunities to all employees and applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, age, national origin, disability, genetic predisposition or carrier status, or any other characteristic protected by federal, state, or local law.
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