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Compliance Manager

2 months ago

Phoenix, Arizona, United States Magellan Financial & Insurance Services, Inc. Full time
Senior Compliance Manager

Magellan Financial & Insurance Services, Inc. is seeking a highly skilled Senior Compliance Manager to join our team in Phoenix. This is a unique opportunity for a seasoned professional to take on a leadership role in our Compliance department and contribute to the growth and success of our organization.

Key Responsibilities:

  • Develop and implement compliance testing and monitoring programs to ensure adherence to regulatory requirements.
  • Oversee the daily operations of the Compliance department, including managing a team of compliance professionals.
  • Stay up-to-date with changes to Federal and State securities laws and regulations, and ensure that our firm and affiliated RIA clients are in compliance.
  • Assist in the revision, preparation, and dissemination of new and updated compliance standards, policies, and procedures.
  • Prepare annual risk assessments, compliance programs, and schedules of reviews for firm access persons, affiliates, and third-party service providers.
  • Advise clients on compliance with the Securities Act, Securities Exchange Act, Advisers Act, 1940 Act, and other applicable regulatory directives.
  • Review and advise on firm marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory requirements.
  • Assist affiliates in the performance of compliance functions, such as oversight of personal trading, email review, and monitoring of firm trading activities.
  • Prepare and file required regulatory filings.
  • Design and monitor testing systems to ensure the efficacy of controls and surveillance programs.
  • Perform other compliance-related responsibilities and special projects as needed.

Requirements:

  • Bachelor's Degree Required
  • 5-7 years of relevant compliance experience at a registered investment adviser or investment consulting firm, experience with investment advisory and registered investment companies preferred
  • Strong working knowledge of the Advisers Act and the 1940 Act.
  • Knowledge of SEC Exam practices, experience with SEC exams and mock exams preferred.
  • Knowledge of CFTC / NFA as well as FINRA requirements is a plus.

What We Offer:

  • Competitive salary and annual bonus
  • Comprehensive benefits package, including health, dental, vision, and 401(k) plan
  • Paid Time Off (Vacation, Sick & Public Holidays)
  • Family Leave (Maternity, Paternity)
  • Fun work environment with a dynamic team