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Investment Compliance Manager
Location : California, San Francisco
Refer job # KEEQ338516

Job Responsibilities and Requirements: Responsibilities Provide regular reporting to senior leadership regarding key performance indicators for compliance Facilitate annual regulatory risk assessment and provide senior management with recommendations based on the results Track and provide recommendations for remediation of identified exceptions or deficiencies and collaborate with the business to follow up on timely remediation Evaluate business process to identify the applicability of regulations to the business Develop, review and revise compliance policies and procedures, as well as provide guidance to business partners on developing and maintaining policies and procedures for their areas of responsibility Best Execution reviews Employee activity monitoring Firm and individual registration Marketing review and approval Electronic correspondence monitoring and review Annual Compliance Meeting preparation and presentation as well as new hire compliance training Annual Fidelity Bond renewal Oversight of annual compliance testing Complaint monitoring & reporting as needed The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required of personnel so classified. #LI-DP1 Skills and Requirements: Skills: The individual will need the ability to work independently, take initiative and have good verbal and written communication skills to discuss concerns and findings to high level managers Minimum of 5-7 years of related compliance, audit or regulatory experience in both RIA and BD businesses FINRA licensed Series 7, 24 and 79 (or ability to take and pass required examinations within 6 months) Strong knowledge of regulatory risks, processes and controls. Strong knowledge of control frameworks and the ability to design and evaluate effectiveness of controls embedded within business processes Good time management and attention to detail are critical to this position. Good analytical, research, organizational and project management skills. Strong individual contributor with the ability to work effectively as a team. Flexibility in learning new topics, handling change and deadlines Ability to communicate clearly Strong organizational and time-management skills required Ability to prioritize in a fast-paced environment.



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