Associate Director of Compliance RIA and BD

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POST DATE 9/16/2016
END DATE 10/27/2016

DM Stone San Francisco, CA

San Francisco, CA
AJE Ref #
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Full Time
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Job DescriptionPosition: Associate Director of ComplianceOur client is an RIA (with affiliated BD) The Compliance Department provides advice and guidance to our business partners regarding the applicability of rules and regulations, advice on policies, procedures and controls, compliance monitoring and assistance with supervisory reviews in order to ensure compliance with all federal and state securities laws and regulations. Brief Description of Role:This role as a compliance officer will focus on the Trading and Operations compliance of the RIA. There will be a specific focus on risk assessments across the firm's Trading and Ops business areas, improving controls within the area and improving business efficiencies across the business. This position will also be advising business clients on regulations and related compliance policies, and maintaining and developing compliance policies and procedures in an effort to establish industry best practices.The ideal candidate will have previous compliance experience in a high-touch/high-client-experience-expectation organization within a registered investment advisor. The Compliance Officer will report to VP of Compliance.Specific Responsibilities:?Maintenance and development of compliance policies and procedures around Trading and Operations as needed due to changing regulations, and continued enhancement of current processes to seek greater efficiencies with the affiliated broker-dealer.?Educate and train staff on firm poli


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