Investment Compliance Director

1 week ago


Edwardsville, Illinois, United States Financial & Tax Architects LLC Full time
Job Title: Director of Compliance

We are seeking a highly motivated and experienced Director of Compliance to join our team at Financial & Tax Architects LLC. As a key member of our compliance function, you will play a critical role in ensuring our firm's compliance with SEC regulations and maintaining a strong compliance culture.

Job Summary:

The Director of Compliance will be responsible for assisting our Chief Compliance Officer (CCO) in overseeing the firm's compliance program, managing regulatory audits and exams, and developing strategic approaches to compliance reviews and issues. This role requires a strong understanding of SEC regulations and guidelines, as well as excellent communication and collaboration skills.

Key Responsibilities:
  • Assist CCO in developing and implementing a comprehensive compliance program
  • Manage regulatory audits and exams, ensuring timely and effective responses
  • Develop and maintain compliance policies and procedures
  • Collaborate with other departments to ensure compliance issues are addressed and resolved
  • Provide oversight of firm marketing activities and social media reviews
  • Review securities transaction and holding reports, as well as personal trading monitoring
  • Update and customize compliance policies and procedures manual
  • Assist CCO with annual compliance program review and report
Requirements:
  • 3+ years of experience in regulatory compliance with an SEC-registered investment advisory firm or brokerage
  • Law degree required
  • Strong knowledge of SEC regulations and guidelines
  • Experience working with Investment Advisor Representatives (IARs)
  • Bachelor's degree required
  • A Series 24 and/or 65 are a plus but not required
  • Certified Compliance & Ethics Professional (CCEP) or Certified Securities Compliance Professional (CSCP) is a plus but not required
Why Join Financial & Tax Architects LLC:

At Financial & Tax Architects LLC, we're committed to providing our clients with comprehensive retirement planning solutions. Our team is dedicated to ensuring that our clients achieve their retirement goals and maintain financial security. If you're passionate about compliance and want to join a team that values integrity and excellence, we encourage you to apply for this exciting opportunity.



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