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Compliance Program Manager

2 months ago

Farmington, Minnesota, United States Blue Chip Partners, Inc. Full time
Job Description

Blue Chip Partners, Inc. is seeking an experienced Chief Compliance Officer to lead and manage all aspects of our compliance program.

Key Responsibilities:
  • Implement and maintain a comprehensive compliance program to ensure adherence to the Investment Advisers Act of 1940 and other securities laws and regulations.
  • Conduct annual review and risk assessment of the compliance program and report findings to the executive team.
  • Test systems and controls to effectively manage and mitigate compliance risk.
  • Administer and monitor the firm's Code of Ethics, including attestations, personal trading activities, reporting of business gifts and outside business activities of Access Persons.
  • Proactively identify and assess SEC proposed regulations that may require the firm's compliance program to be updated to ensure compliance.
  • Review and maintain firm's compliance policies and procedures, disclosure documents and compliance calendar.
  • Analyze client investment guidelines to implement and monitor investment restrictions.
  • Review and approve marketing related materials.
  • Review and monitor trading processes and trade error corrections.
  • Conduct initial, periodic and annual compliance training to educate and engage employees on compliance policies and procedures, including Code of Ethics and Fiduciary Duty.
  • Prepare and submit all required regulatory filings and disclosure documents in a timely and accurate manner.
  • Serve as primary contact for SEC, state and other regulatory examiners, as well as firm's compliance counsel; and respond to all exams/inquiries during regulatory examinations.
  • Manage all aspects of the annual custody examination conducted by an independent auditing firm.
  • Conduct/supervise periodic review of employees' firm email communications.
  • Work with IT team on cybersecurity/compliance matters.
  • Assist with firm's insurance programs.
  • Periodically attend compliance and regulatory forums sponsored by respected industry organizations.
  • Provide support to operations and client service teams, as needed.
  • Manage continuing education requirements for IA representatives.
Qualifications:
  • Ability to foster a culture of compliance and integrity.
  • Adheres to high ethical standards, judgment and discretion.
  • Self-motivated, and able to function with a high degree of independence.
  • Ability to be proactive and follow up to resolve issues.
  • Seeks to keep abreast of compliance regulations and best practices.
  • Excellent attention to detail and organizational skills.
  • Strong oral and written communication skills.
  • Ability to understand complex regulatory standards.
  • Works well in a non-hierarchical environment and is a team player.
  • Willingness to assist colleagues with special requests, as needed.
  • Commitment to learning.
Candidate Requirements:
  • Bachelor's degree required.
  • 5 years or more working experience for a SEC registered investment adviser in a relevant compliance, legal or regulatory role.
  • Strong knowledge and understanding of the Investment Advisers Act of 1940 and state securities laws, and other related laws and regulations.
  • Experience with SEC, state and/or other regulatory examinations.
  • Knowledge of portfolio accounting, order management and compliance reporting systems.
  • Professional compliance designation or Series 65 licenses desired.
  • Knowledge of basic Microsoft Office applications, notably Excel.