Investment Adviser Compliance Officer

A company is looking for an AVP of Investment Adviser Compliance.

Key Responsibilities

Oversee personal trading management and ensure adherence to internal policies

Monitor employee electronic communications for compliance with regulations

Assist in the preparation and filing of regulatory reports and compliance testing

Required Qualifications

At least 5 years of experience in a compliance role focused on investment adviser compliance

Understanding of Rule 206(4)-7 under the Advisers Act and related regulations

BA degree required

Experience in ETF, mutual fund, or financial services environment is desired

Knowledge of SEC rules applicable to registered investment advisers is preferred