Compliance Officer

2 weeks ago

Richmond, Virginia, United States RiverFront Investment Group Full time
Compliance Officer Job Description

The Compliance Officer will play a critical role in supporting the Chief Compliance Officer in the implementation and maintenance of RiverFront's Investment Adviser compliance program. This position requires a strong understanding of securities laws and regulations, as well as excellent organizational and communication skills.

Key Responsibilities:
  • Assist the Chief Compliance Officer in administering and maintaining the firm's compliance program, ensuring a robust control and compliance environment.
  • Conduct ongoing testing of the compliance program to ensure RiverFront adheres to its policies and procedures.
  • Coordinate and review U-4 and U-5 filings, monitor CE requirements, outside business activities, and personal trading for associates.
  • Assist in reviewing responses to new business RFPs and annual/quarterly/monthly due diligence questionnaires, providing regular internal updates on progress.
  • Collaborate with portfolio managers and internal subject matter experts to write accurate descriptions of RiverFront's policies and procedures.
  • Review and approve marketing materials, including weekly, monthly, and quarterly general market commentaries, emails, and videos.
  • Assist the Chief Compliance Officer in responding to regulatory requests.
  • Complete special projects and other tasks assigned by the Chief Compliance Officer, coordinating efforts with various business and product teams.
Requirements:
  • Undergraduate degree in business, finance, or a related field.
  • 5+ years of compliance or operations experience with financial services firms is preferred.
  • FINRA Series 7 and 24 desired, or willingness to take exams and capability to pass the exams.
  • General knowledge of managed accounts and wrap fee programs a plus.
  • Experience analyzing and applying Securities and Exchange Commission (SEC) rules and standards is preferred.
  • Prior experience with an investment advisor or regulatory knowledge of the Investment Advisers Act is desirable.
Competencies:
  • Independent thinking skills, strong research skills, and ability to proactively identify solutions are required.
  • Exceptional organizational skills required, with the ability to meet designated deadlines.
  • Proven ability to collaborate on multiple projects using available resources such as shared calendars, Microsoft Teams, and project management tools like Jira.
  • Successful experience handling demanding or time-sensitive tasks by coordinating with manager and teammates, proactively managing schedules or conflicts, and communicating frequently with internal customers.
  • Ability to utilize effective communication to develop cross-functional relationships, solicit feedback on performance, understand complex directions, and provide updates to stakeholders.

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