Wednesday, August 7, 2013

Compliance Manager - Rhode Island

Compliance Manager - Rhode Island
Title:  Compliance Manager (858-002-111)
Location:  Rhode Island
Compensation:  Commensurate with experience + benefits
Summary:
This is a position in an investment advisory firm for a motivated compliance/operations professional experienced in compliance and operations. This person will handle all aspects of the compliance program on a day-to-day basis. The position reports to the Chief Compliance Officer. Our client is an Investment Adviser registered with the United States Securities and Exchange Commission and currently advises on more than $4 billion in assets.
Responsibilities:
  • Handle all compliance testing, supervision and oversight, e.g. performance dispersion, adherence to client strategy, client suitability, best execution/trade cost analysis, personal trading, soft dollars, proxy voting
  • Review and revise compliance policies and procedures
  • Track and research trade errors and maintain error log and files
  • Review set-up of new accounts in Axys and Moxy to ensure compliance with client restrictions and operational requirements
  • Handle regulatory filings, such as ADV and Rule 13
  • Other account tracking and monitoring, such as tracking frozen accounts and wash-sale restrictions
  • Review advertising/marketing materials
  • Conduct annual audit in accordance with Rule 206(4)-7
  • Handle and track client complaints
  • Liase with mutual fund service providers
  • Primary oversight of Code of Ethics compliance
  • Oversee compliance training for staff
Requirements:
  • 4-year college degree required, preferably in a business or finance discipline
  • Advanced degree preferred
  • Series 24 preferred
  • Minimum of 5 years of relevant Financial Services industry experience
  • Candidate must have experience with investment advisory compliance
  • Knowledge of the Investment Advisors Act
  • Microsoft Office, Advent Axys and Moxy (preferred), APL (preferred)
  • Smarsh and Financial Tracking (preferred)
If you are interested in this opening, please email your resume as an MS Word attachment to:
Jordan Striggow
BCI - Financial Services Recruiting

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