RIA Compliance Officer - Marketing Concentration (Remote)

RIA Compliance Officer - Marketing Concentration (Remote) - 35 year old wealth management and investment advisor with > $5B AUM and 500 clients with offices in Nashville and Santa Monica needs this newly created position to re-create the Marketing and Sales compliance process and and backup the CCO.  Total compensation $100k to $150k.

Description:

This RIA Compliance Officer will have primary responsibility for overseeing and performing the Company’s advertising, sales, and communications compliance practices to ensure compliance with all the federal, state, and SEC rules and regulations, as well as the Company’s policies and procedures.  Reporting directly to the Chief Compliance Officer, this role will be a valuable contributor to the Company’s compliance program and compliance department, a team of three. If you are a motivated individual with industry experience and strong communication skills who is looking to take ownership of a functional role as well as further develop your expertise in a highly valued niche, then our dynamic group might be right for you. Remote applicants welcome and encouraged.  In office positions available in Santa Monica, CA and Nashville, TN.

Roles and Responsibilities:

• Own the Marketing and Sales Compliance process through creation of workflows, policies and procedures, best practices, training, and more

• Liaison with the Marketing Team and staff with review and approval of advertising, general communications, and other related submissions and initiatives.

• Responsible for ongoing maintenance and review of publicly facing content (websites, social media, etc.)

• Through training and written guidance, educate staff on current regulations, areas of risk focus, review practices, record keeping, while supporting a growth environment.

• Review representative advertising and correspondence, along with required supporting documentation; identify, address, document, and escalate issues discovered when appropriate.

• Track metrics, KPIs/KRIs, and use data to help drive efficiencies and improvements;

• Review product offering documents to ensure compliance with regulations and policies; brochures, presentations, fact sheets, commentary, video transcripts, social posts, etc.

• Maintain and enhance the Compliance Marketing Module within ACA Compliance Alpha

• Review and follow-up on exception and trending reports.

• Manage or assist with legal and regulatory requests relating to advertising, sales, and communications, or other areas as may be assigned.

• Assist in monitoring advertising and sales activities aligning with the Company’s Policies & Procedures.

• Assist in, and own, the composite and performance compliance efforts of the Company;

• Identify operational and compliance risks and recommend and implement improvements.

• Conduct independent surveillance and periodic testing of Company and personnel use of Marketing

• Refer to and provide input, as necessary, to the Compliance department on any regulatory violations, sales/advertising practice improprieties, or actual or potential violations of Company policies and/or regulatory requirements.

• Stay up to date with the industry and regulatory changes.

• Depending on skillsets, may be assigned other functional compliance duties

• Will assist in Annual Review Testing, Risk Assessments, and other Compliance Team activities

• Perform other duties as assigned.

Abilities Required

• Undergraduate Degree in Business, Accounting, Finance or related discipline desired.

• Over 3 years experience in the securities industry preferably with prior experience in RIA Compliance marketing/advertising review.

• Understanding and knowledge of compliance, suitability issues, SEC marketing review requirements, etc.

• Understanding and knowledge of retail investor account services, TAMP/Model services, ETFs and Mutual Funds

• Understanding of composite performance and rules related to marketing of composite performance

• Strong knowledge of SEC rules and Regulations.

• Strong computer skills required, including solid ability using MS Outlook, MS Word, Adobe PDF, and MS Excel.

• Excellent communication skills and pleasant attitude toward team members

• Ability to remain firm in decision making and communicate decision reasoning

• Strong ability to multi‐task, prioritize, and work independently with heightened focus on detail

• Ability to use strategic problem‐solving skills to recommend improvements and/or alternative solutions

• Must be organized and process‐oriented

• Proactive collaboration and service‐based responses with business partners 

• Solid work ethic and proven professionalism

• IACCP or other compliance designations welcome and supported