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Compliance Associate

4 hours ago

Carmel, Indiana, United States Oxford Financial Group, Ltd. Full time

POSITION SUMMARY

The Compliance Associate plays a pivotal role in ensuring Oxford's adherence to regulatory requirements, particularly those set by the SEC, by providing comprehensive oversight of marketing material reviews, compliance testing and risk management efforts. This position also contributes to the design and enhancement of compliance analytics and regulatory reporting processes. Working closely with the Chief Compliance Officer and the Compliance Manager, supporting key functions across compliance, including program monitoring, examinations, associate training, and implementation of new regulatory initiatives.

DUTIES & RESPONSIBILITIES

  • Conduct marketing and social media reviews to ensure alignment with SEC Marketing Rule requirements and broader regulatory guidelines
  • Assist in the buildout and ongoing enhancement of our risk management program, including risk identification, tracking, and reporting
  • Contribute to the annual IA review, Form ADV updates, and ongoing RIA compliance obligations
  • Maintain compliance calendars and logs
  • Coordination and monitoring of associate onboarding and offboarding, including compliance training and Code of Ethics certification
  • Participate in external audits and regulatory examinations, coordinating with internal departments and external resources, and compiling and preparing documentation and responses
  • Facilitate testing activities led by Compliance service provider
  • Develop and conduct internal testing and analyses, document findings and formulate recommendations
  • Work cross-functionally to support AI implementation efforts, monitoring for responsible and compliant use of AI in alignment with evolving legal and ethical frameworks
  • Assist in ascertaining training needs and help develop training based on gaps identified through compliance monitoring and testing
  • Act as a compliance generalist, contributing wherever needed with flexibility, curiosity, and ownership
  • Communicate and socialize compliance program objectives to business partners to foster a culture of internal client service
  • Remain up to date on relevant regulatory changes and industry best practices to identify and mitigate potential compliance risks

QUALIFICATIONS

  • Bachelor's degree in Business, Finance, Economics, or a related field is preferred; however, a combination of education, job specific certifications such as a Series 65 and relevant experience will also be considered
  • Five to seven of regulatory compliance or risk management experience at a broker-dealer or RIA.
  • Demonstrated working knowledge of the Investment Advisers Act of 1940 and SEC regulatory framework
  • Ability to thrive in a fast-paced, deadline-driven environment
  • Demonstrated flexibility and a proactive willingness to take on new and diverse responsibilities as the firm needs evolve
  • Display a strong desire to learn and deliver high-quality results and promote a culture of compliance
  • Effective at collaborating within a team setting while also capable of working independently
  • Strong attention to detail and ability to analyze complex information
  • Must have a positive, professional demeanor with the utmost respect for confidential matters
  • Must have excellent written and verbal communication skills with strong interpersonal skills

WORKING CONDITIONS

  • Extensive computer usage
  • 100% on-site

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