Investment Compliance Manager | Temporary

About the Role

The Ford Agency has an exciting Investment Compliance Manager role with one of the DC-area's top investment firms. The person in-seat will act as the subject matter expert on all compliance matters related to advisers, ETFs, mutual funds, CPOs, and CTAs. This is an excellent opportunity for someone with 5+ years of investment legal experience to join a successful and well-established team. This is a temp-to-hire position and available immediately.

Responsibilities

• Collaborate on developing compliance policies and processes
• Identify and resolve compliance issues
• Represent firm with regulatory agencies and service providers
• Benchmark policies and evaluate compliance control effectiveness
• Train and mentor marketing, strategy, and portfolio staff
• Regularly administer compliance risk testing
• Screen various materials for conflicts of interest

Qualifications

• BA/BS degree required, JD strongly preferred
• Series 7, 63, and 24 licenses required
• 5+ years direct experience in a compliance focused role for a registered investment firm
• 5+ years experience working with SEC, FINRA, CFTC and securities agencies
• Strong leadership, analytical, and organizational skills
• Excellent written and verbal communication skills

Compensation

$100K + discretionary bonus

Candidates for this position must be based in DC, MD, or VA area or have independent plans for relocation.