Investment Compliance Consultant
2 months ago
- Compensation: Negotiable based on experience + bonus opportunity
- Location: 12412 Powerscourt Drive, Suite 25, Saint Louis, MO 63131 (Onsite work required).
- Work Hours: Monday - Friday business hours
- Job Type: Full-time W-2 position
- Benefits:
- Health Insurance offering - 50% of premiums are employer-subsidized
- Dental Insurance offering
- Vision Insurance offering
- 401(k) with 3% match
- Paid vacation/PTO
- Life and short-/long-term disability coverage
- Hands-on comprehensive training and development
- Flexible work-life balance
- Family-oriented environment
Director of Compliance Job Summary:
We are currently seeking a motivated individual to join our team as a Director of Compliance to support the firm’s compliance function. In this role, you'll play a critical part in helping our senior management and Chief Compliance Officer (CCO) achieve compliance with the registered investment adviser’s SEC regulations.
If you're looking for a family environment where your contributions are valued, to promote you from within the organization, this could be the perfect opportunity for you
Director of Compliance Job Summary:
- Assist CCO with SEC regulatory oversight, managing regulatory audits and exams
- Assist CCO with developing an overall strategic vision for the compliance functional areas of RIA which effectively manages and mitigates risk, establishes proper controls, supports business initiatives, and protects the company from legal and regulatory risk
- Assist with executing on strategic & consistent approaches to compliance reviews, issues and/or concerns to minimize the enterprise’s exposure
- Proactively collaborates with other departments as needed to ensure compliance issues are addressed, investigated, resolved
- Works with CCO and CEO to develop an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers
- Provides oversight of Firm marketing activities and social media reviews
- Review of securities transaction and holding reports received under your firm’s code of ethics, Daily personal trading monitoring, G&E, and Play to Pay reviews using compliance software (Argus)
- Updating and customizing compliance policies and procedures manual
- Assist CCO with the annual compliance program review and report - ACC will conduct an annual compliance review in accordance with Rule 206(4)-7 under the Investment Advisers Act of 1940
- Implementation and Maintenance of Compliance Calendar
- Email reviews
- Travels to offices across the U.S. to meet with Investment Advisor Representatives (IARs) to conduct training and investment audits
- Opportunity to be promoted into a leadership role with tenure
Director of Compliance Job Requirements:
- 3+ years of experience in regulatory compliance with an SEC-registered investment advisory firm or brokerage
- Must have Law Degree
- Must have strong knowledge of SEC regulations and guidelines
- Experience working with and consulting 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
- Attention to detail in typing and proofing materials, establishing priorities, and meeting deadlines
- Must have strong computer skills - including proficiency with Excel
- Ability to communicate effectively with departments and others within the firm
- Demonstrates teamwork coupled with self-motivation
- Must be willing to perform limited overnight travel for office IAR training and audits (up to 10-15% annually)
Why Join Financial & Tax Architects:
Our underlying retirement planning philosophy is “Losses Hurt You More than Gains Help You™”.
At Financial & Tax Architects, LLC, we're not just a company – we're a united team with a transformative purpose. Guided by the vision of Your Retirement Professor™ Scott Brooks, our focus is ensuring that our clients accomplish all their retirement goals, achieve their highest life values and do it all with the peace of mind that comes from knowing they are financially safe and secure and never have to worry about running out of money. With our immersive educational approach, fiduciary commitment, and innovative investment strategies, you'll become part of a group shaping the future of retirement solutions. Our goal-based financial planning process is designed to help our clients obtain the income they need to meet their retirement vision.
Come contribute to impactful change, cultivate personal and professional growth, and align with a team built on the Core Values of Compassion, Dependability, Pride, Growth, and Candor.
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