Compliance Officer

4 weeks ago

Étreux, Hauts-de-France, United States Fiducient Advisors Full time
Job Title: Compliance Officer

Fiducient Advisors is seeking a highly skilled Compliance Officer to join our team. As a Compliance Officer, you will play a vital role in ensuring the firm's compliance with regulatory requirements and collaborating with the Compliance Manager on initiatives that drive new efficiencies to deliver top-notch client service and reduction of risk.

Key Responsibilities:
  • Review the firm's marketing campaigns to ensure compliance with all regulatory requirements and provide timely and accurate responses, including regulatory basis for requested changes and recommend alternatives to ensure content is compliant.
  • Work with business teams on implementing regulatory changes that impact marketing and provide support for internal and external audits and examinations.
  • Interpret, advise, administer, and monitor the Firm's Code of Ethics for personal trading along with all required employee reporting requirements.
  • Assist with electronic communication reviews and conduct oversight and due diligence on critical vendors.
  • Support Compliance Manager by conducting compliance testing on the firm's policies and procedures and assist with the preparation and submission of regulatory filings and disclosure documents.
  • Provide support for internal and external audits and examinations and conduct trade error review and monitoring.
  • Assist with the revision of policies and procedures and assist with annual and ad hoc compliance training.
  • Perform other compliance duties as required by the Compliance Manager.
Requirements:
  • 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.
What We Offer:
  • Paid Time Off with optional rollover.
  • Personal/Sick Time.
  • 10 Holidays with additional half days off for specific holidays throughout the year.
  • Summer Perks.
  • Bereavement Time –inclusive time off for a loved one, unborn child, or pet.
  • Employer Paid Parental, Personal and Family leaves.
  • Professional Development Day for eligible exams.
Work Life Convenience Benefits:
  • Exclusive Wellness Benefit Programs from VirginPulse, Care.com, Torchlight, Real Appeal, Peloton and more.
  • KindBody – Family & Fertility Assistance.
  • Wellness Reimbursement Program.
  • Professional Development Designation reimbursement.
  • Employee Referral Program.
  • Employee Resource Groups, Mentorship Program & New Hire Cohort.
  • 401K Plan with company match.
  • Cell Phone Reimbursement Program.

Fiducient Advisors is a CFA Institute DEI Signatory. As a signatory, we commit to six Code Principals that seek to drive DEI progress in a meaningful way that can be measured. The six principles focus on pipeline, talent acquisition, promotion and retention, leadership, influence, and measurement.

Fiducient Advisors is an Equal Opportunity Employer that provides 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. The company is committed to this policy with respect to recruitment, hiring, placement, promotion, transfer, training, compensation, benefits, employee activities and general treatment during employment. It is expected that all employees are aware of this policy and that they create an environment that is sensitive and respectful to all individuals.

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