Regulatory and Compliance - Assistant Vice President

Responsibilities

• Ensure communications comply with applicable regulatory guidelines in accordance with SEC and FINRA rules.
• Conduct compliance monitoring programs relating to marketing materials, including updates to disclosure language.
• Cook up with external counsel to obtain and incorporate regulatory guidance for marketing materials.
• Afford to maintain and oversee the compliance program for a registered investment adviser.
• Update and enhance policies and procedures and support ongoing compliance training initiatives.
• Support the preparation for, and response to, regulatory inquiries, examinations, and audits.
• Contribute to additional Regulatory and Compliance initiatives and ad hoc projects, as needed.

Qualifications

• Bachelor's degree, J.D. or equivalent is a plus
• 5+ years of experience, preferably with registered investment advisor experience
• Proficient in Microsoft Office Suite (Word, PowerPoint, Excel)
• Excellent verbal communication and presentation skills

Pay

The base salary range for this role is $110,000 to $140,000.

Schedule

Employees will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.