Compliance Specialist

POSITION SUMMARY

The Compliance Specialist plays a pivotal role in ensuring Oxford's adherence to regulatory requirements, particularly those set by the SEC, by providing comprehensive oversight of marketing material reviews, compliance testing and risk management efforts. This position also contributes to the design and enhancement of compliance analytics and regulatory reporting processes. Working closely with the Chief Compliance Officer and the Compliance Manager, supporting key functions across compliance, including program monitoring, examinations, associate training, and implementation of new regulatory initiatives.

DUTIES & RESPONSIBILITIES

Compliance

• Conduct marketing and social media reviews to ensure alignment with SEC Marketing Rule requirements and broader regulatory guidelines
• Support the development and implementation of new regulatory initiatives such as Reg S-P and the AML Program
• Assist in the buildout and ongoing enhancement of our risk management program, including risk identification, tracking, and reporting
• Contribute to the annual 206(4)-7 IA review, Form ADV updates, and ongoing RIA compliance obligations
• Lead the execution of compliance program objectives for assigned area, products / services, and applicable regulations
• Working with the Compliance Manager, oversee the compliance monitoring program and review activity to ensure it falls within established risk control limits
• Maintain compliance calendars and logs
• Coordination of associate onboarding and offboarding, including compliance training and Code of Ethics certification
• Monitor ongoing Code of Ethics adherence
• Conduct marketing and social media reviews to ensure alignment with SEC Marketing Rule requirements and broader regulatory guidelines
• Support the development and implementation of new regulatory initiatives such as Reg S-P and the AML Program
• Assist in the buildout and ongoing enhancement of our risk management program, including risk identification, tracking, and reporting

Exam, Audit and Testing

General Compliance

QUALIFICATIONS

WORKING CONDITIONS