Deputy Chief Compliance Officer

Responsibilities

• Provide guidance to employees on compliance with the Code of Ethics (COE), Written Supervisory Procedures (WSPs), and applicable regulatory requirements
• Aid the CCO in coordinating and executing annual compliance reviews, including FINRA Rule 3120 and Advisers Act Rule 206(4)-7 reviews
• Perform recurring compliance monitoring and reporting functions, including review of surveillance reports, exception reporting, and supervisory controls
• Review supervisory activities related to advisory programs to ensure adherence to internal policies and regulatory standards
• Aid in drafting, reviewing, and maintaining regulatory disclosures, including Form CRS and Form ADV (Part 2 and Part 3)
• Prepare and file regulatory submissions for RIA entities and affiliated firms, including Forms ADV (1A), ADV-E, 13F, NP-X, 13H, and other required filings
• Review and approve marketing materials and internal communications for regulatory compliance, as needed
• Conduct regulatory research and assist in preparing responses to regulatory inquiries, audits, and examinations
• Assess and evaluate daily operations and implement automation where appropriate to streamline operating functions
• Collaborate with cross-functional compliance, AML and supervision teams to support daily initiatives
• Supervise staff that supports both investment advisory and broker dealer compliance initiatives
• Perform additional duties as required to support the compliance function and broader business needs

Qualifications

• Bachelor’s degree or equivalent industry experience required
• FINRA Series 7 and Series 24, Series 65 or 66 required; Minimum of 5 years of compliance or related financial services experience preferred
• Strong knowledge of broker-dealer and investment adviser operations, including: Trading and custody processes, Account onboarding and maintenance, Billing and performance reporting systems
• Working knowledge of the Investment Advisers Act of 1940 and related rules
• Strong analytical, problem-solving, and organizational skills
• Excellent written and verbal communication skills
• Advanced proficiency in Microsoft Excel (Access or other data tools a plus)
• Demonstrated ability to manage multiple priorities and meet deadlines
• Proven ability to build effective working relationships across business lines
• Leadership skills with the ability to delegate, guide, and mentor others in a professional and ethical manner

Pay

Salary Range: $120,000 - $170,000 (Salary to be determined by the education, experience, knowledge, skills and abilities of the applicant, internal equity and alignment with market data.)

Subject to business performance and recommendations of management, this role may be eligible to participate in an incentive compensation plan.

This compensation package, in addition to a full range of medical, financial, and/or other benefits, dependent on the position, is offered.