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Investment Advisory Compliance Officer

Company: Advisor Group
Location: Indianapolis
Posted on: August 7, 2022

Job Description:

Advisor Group CareersBe a part of the team behind our success! At Advisor Group, we support financial professionals nationwide, the people who help everyday Americans achieve their dreams. We're a billion-dollar business with the mentality and drive of a startup. Join us in building something special.Compliance Leadership Opportunity in Financial Services Investment Advisory Compliance Officer Preferred Location(s): Atlanta, Phoenix, Oakdale, New Jersey, OmahaPreference is given to candidates willing to work a hybrid schedule, split between home and the office. Consideration will be given to qualified applicants seeking 100% remote work from home.Summary: The Investment Advisory Compliance Officer for Policies and Procedures will be responsible for oversight and execution of the Firm's RIA Compliance Program which includes but is not limited to ongoing administration, new policy formulation, risk assessment, testing and regulatory filings. An ideal candidate must:

  • Have an excellent and thorough understanding of the securities industry, both broker/dealer and investment advisory
  • Possess well-developed analytical and project management skills, highly organizedwith the ability to handle multiple tasks and multiple prioritiessimultaneously.
  • Possess advanced skill to independently identify and analyze compliance issues
  • Work well in a fast-paced and complex collaborative environment
  • Excellent interpersonal, troubleshooting and communication skillsResponsibilities:
    • Monitor compliance with laws, rules and regulations
    • Develop & manage AG's RIA Compliance Program
    • Coordinate and oversee the development, implementation and enforcement of policies, procedures and programs to minimize risk
    • Conduct periodic audits (i.e. risk assessment, testing) of RIA compliance policies and procedures pursuant to Rule 206(4)-7 and assist in establishing controls to mitigate risks
    • Complete regulatory filings and amendments (Annual and Other than Annual Amendments) to Form ADV, Form 13F and Form 13H
    • Prepare for and respond to regulatory inquiries, examinations, internal and external audits
    • Direct and supervise professional staff across multiple geographic locations
    • Represent RIA Compliance Department in cross functional Firm initiatives and committees
    • Provide investment advisory compliance support to RIA subsidiaries of Advisor Group
    • Be responsible for hiring, conducting performance evaluations, training, and directing the work priorities within the department
    • Research and resolve issues, provide recommendations, and escalate to senior management as needed
    • All other duties as assignedEducation Requirements:
      • Bachelor's degree in Business, Accounting, Finance or related discipline is preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.Basic Requirements:
        • Five+ years of relevant work experience with a financial institution such as a broker/dealer, registered investment adviser, regulatory agency, or other financial institution.
        • Significant prior experience with the Investment Advisers Act of 1940, Investment Company Act of 1940 and Securities Act of 1933
        • FINRA Series 66 (or Series 63 / 65) is required
        • Significant prior experience with regulatory filings, conducting risk assessments, drafting policies and procedures
        • Strong ability to build consensus among managers and employees across departments
        • Excellent project and time management skills with the ability to handle multiple priorities, meet deadlines and develop process efficiencies where required
        • Strong written and verbal communication, including the ability to communicate both up and down the management chain and to adapt your style depending on the audience and subject matter
        • Proven management and human relation skillsPreferred Requirements:
          • FINRA Series 7 and Series 24 are preferred.Current Employees and Contractors Apply Here

Keywords: Advisor Group, Indianapolis , Investment Advisory Compliance Officer, Other , Indianapolis, Indiana

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