Compliance Officer

Responsibilities

• Maintain and continuously enhance the firm’s compliance program, including written policies and procedures designed to prevent violations of applicable laws and regulations.
• Participate in risk assessments and contribute to the development of risk-based testing plans.
• Conduct periodic reviews and testing of business activities to assess the effectiveness of controls and identify areas for improvement.
• Monitor regulatory developments and support updates to internal policies and procedures based on changes in rules, guidance, or business practices.
• Review and approve marketing materials, presentations, website content, social media, and other client-facing communications for consistency with regulatory requirements.
• Verify that performance information, testimonials, endorsements, third-party ratings, and other advertising content meet applicable standards and are appropriately substantiated.
• Maintain records of marketing reviews, supporting documentation, and approval workflows in accordance with books-and-records obligations.
• Partner with marketing and advisory teams to provide guidance on compliant communication practices.
• Aid in the preparation of regulatory filings (e.g., Form ADV, Form CRS, Form 13F).
• Maintain accurate compliance records, documentation, and audit trails consistent with books-and-records requirements.
• Develop and deliver compliance training for employees on key regulatory obligations, policies, and ethical standards.
• Serve as a resource to employees by addressing compliance-related questions and escalating issues as needed.
• Identify, document, and resolve potential compliance issues, including completing investigations and recommending corrective actions.
• Manage the escalation, reporting, and documentation of material compliance matters.
• Contribute to compliance-related projects (e.g., enhancements to operational processes or workflows, implementation of new compliance technologies).
• Collaborate with business partners to ensure projects align with regulatory standards and industry best practices.
• Participate in regulatory examinations and internal or external audits by preparing requested materials, coordinating responses, and assisting in remediation efforts.

Qualifications

• Bachelor’s degree or equivalent experience.
• Experience working in a compliance, legal, or risk-related function within a registered investment adviser.
• Solid working knowledge of the Investment Advisers Act of 1940 and related state and federal regulations.
• Strong analytical, problem-solving, and organizational skills.
• Ability to maintain confidentiality and exercise sound judgment.
• Excellent written and oral communication skills.
• Highly organized with exceptional attention to detail.
• Ability to work in a deadline-oriented environment with changing priorities.
• Proficient in Word, PowerPoint and Excel.
• Experience with compliance technology platforms.
• Professional designations (e.g., IACCP®) a plus.