Compliance Officer - Investment Advisory
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POST DATE 9/16/2016
END DATE 6/16/2017
DM Stone JobsInBrokerage.com
San Francisco, CA
JOB DESCRIPTIONThe 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:The general purpose of this position is to participate in the administration, development and execution of the firm's Compliance Program. This role as a compliance officer will focus on assisting the CCO with the administration of the compliance program. There will be a specific focus on risk assessments across the firm's business areas, advising business clients on regulations and related compliance policies, and the maintenance and development of 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 the CCO.Specific Responsibilities:?Maintenance and development of compliance policies and procedures as needed due to changing regulations, and continued enhancement of current processes to seek greater efficiencies with our affiliated broker-dealer ?Educate and train staff on firm policies and procedures?Proactively identify and champion opportunities to improve compliance efficiencies and mini
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