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Masis Professional Group provided pay range
This range is provided by Masis Professional Group. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.
Base pay range
$100,000.00/yr - $150,000.00/yr
Additional compensation types
Annual Bonus
Direct message the job poster from Masis Professional Group
My client is seeking a knowledgeable and proactive Sr. Compliance Officer to lead and manage their compliance program. This role is responsible for ensuring the firm remains in full compliance with SEC regulations and industry best practices. The ideal candidate will be hands-on, detail-oriented, and able to scale compliance processes in alignment with the firm’s continued growth.
Key Responsibilities:
* Serve as the firm’s Sr Compliance Officer or deputy CCO, depending on experience.
* Maintain and enhance the firm’s compliance program, policies, and procedures to ensure ongoing adherence to SEC regulations under the Investment Advisers Act of 1940.
* Conduct and document annual compliance reviews, risk assessments, and internal audits.
* Monitor and review trading activity, advertising/marketing materials, client communications, and personal trading in accordance with the firm’s code of ethics.
* Coordinate and lead the preparation of regulatory filings, including Form ADV, Form CRS, and Form U4/U5.
* Oversee compliance training for employees and provide guidance on compliance-related matters.
* Serve as liaison with regulatory bodies during examinations or audits.
* Identify areas for process improvement and work with leadership to implement scalable compliance infrastructure and technology solutions for organic and inorganic growth.
Qualifications:
* Minimum 5+ years of compliance experience within an RIA or financial services firm.
* In-depth knowledge of the Investment Advisers Act of 1940 and related SEC rules.
* Strong analytical, organizational, and communication skills.
* Ability to work independently and collaboratively in a growing, dynamic environment.
* Experience with compliance software platforms and reporting tools preferred (e.g., RIA in a Box, Smart RIA, MyComplianceOffice).
Seniority level
* Seniority level
Director
Employment type
* Employment type
Full-time
Job function
* Job function
Finance, Customer Service, and Accounting/Auditing
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Inferred from the description for this job
Medical insurance
Vision insurance
401(k)
Paid maternity leave
Paid paternity leave
Tuition assistance
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