Mgr, Compliance - LIC

About the role

Perform ongoing testing and reviews of RIA policies, procedures, products and operations pursuant to SEC Rule 206(4)-7. Participate and contribute to various RIA compliance and risk management initiatives, committees and working groups. Analyze and provide guidance on complex compliance risks within the RIA business units and/or functions. Implement strategies and methods related to the compliance risk management framework within the organization, including quality assessments, key risk, and performance measurement data, along with oversight monitoring and mitigation strategies. Partner with LOB leaders and other senior teammates to execute on key strategic initiatives for the company, providing counsel and oversight in a collaborative, business savvy and team-first manner. Complete assigned tasks and projects from the Chief Compliance Officer.

Responsibilities

• Perform ongoing testing and reviews of RIA policies, procedures, products and operations pursuant to SEC Rule 206(4)-7.
• Participate and contribute to various RIA compliance and risk management initiatives, committees and working groups.
• Analyze and provide guidance on complex compliance risks within the RIA business units and/or functions.
• Implement strategies and methods related to the compliance risk management framework within the organization, including quality assessments, key risk, and performance measurement data, along with oversight monitoring and mitigation strategies.
• Partner with LOB leaders and other senior teammates to execute on key strategic initiatives for the company, providing counsel and oversight in a collaborative, business savvy and team-first manner.
• Complete assigned tasks and projects from the Chief Compliance Officer.
• Supervise and provide leadership to ensure the successful completion of legal, regulatory, compliance, and supervision business objectives.
• Build and maintain a high-performing team; select, develop, coach, reward and recognize team members.
• Conduct in-depth analysis and research of complex compliance related issues and has decision making authority to implement necessary resolutions.
• Responsible for assistance in the annual compliance review pursuant to SEC Rule 206(4)-7.
• Coordinate and execute incidence management with appropriate areas of the organization.
• Consult and work closely with other enterprise-wide business and compliance teams to carry out requirements of compliance program and to assist with enterprise-wide initiatives.
• Evaluate and review existing business practices on a proactive basis, and as business needs dictate, provide consultation and training to TAN business units in order to identify, minimize and manage risk.
• Ability to lead under pressure on multiple projects in a highly visible, fast-paced environment with minimal supervision, including maintaining a highly engaged and effective staff through solid leadership skills.
• Ability to interact at the ground level with advisor practices effectively.
• High level of personal and professional integrity; strong reputation as a trustworthy individual who maintains confidentiality.
• Perform other duties as assigned or as business needs dictate.

Requirements

• Series 65 or 66, or relevant professional designation or ability to acquire within 90 days.
• Bachelor’s Degree in business or related field; advanced degree and/or professional designations/licenses preferred.
• Significant (5 plus years) industry experience related to financial services, insurance, securities and/or investment management.
• Extensive knowledge of Registered Investment Adviser business and securities regulatory requirements in the independent advisor space.
• Previous regulatory and/or compliance experience required.

Qualifications

• Demonstrated track record work effectively consulting with financial advisory practices at all levels of their organization (staff to owner advisors).
• Foster Open Communication: strong interpersonal skills, negotiation, and oral and written communication skills.
• Use Sound Judgement: creative problem-solving skills, attention to detail and excellent follow-up skills.
• Proactively identifies next steps in ambiguous situations, drives work with minimal oversight and aligns deliverables with team objectives.
• Project management, time management, leadership, and the ability to influence others without direct authority.

Benefits

• Various bonuses (including, for example, annual or long