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Compliance Director - Wealth Management

Description

Ref ID: 00900-0011368875

Classification: SEC Compliance Manager/Director

Compensation: $100000.00 to $125000.00 yearly

Our client is seeking a permanent Compliance Director to join their growing private wealth management firm with four offices. The Director will partner with the Chief Financial Officer to heavily support SEC and FINRA regulatory compliance functions. Key responsibilities will include administering the firm’s compliance program and reasonably mitigating the risk of violating FINRA, SEC, legal, regulatory or firm requirements. This role will lead projects primarily focused on the on-going development and implementation of the compliance programs, monitoring entity and employee compliance, developing and establishing policies and procedures, and following up on any deficiencies identified to ensure timely resolution. Responsibilities • Develop, implement and maintain policies and procedures reasonably designed to comply with FINRA and SEC rules, regulations and firm requirements, including an assessment of new rules and incorporating them into the compliance program • Develop and maintain policies and supporting service agreements related to delivering investment advisory and other wealth management services in a multi-location environment • Assist in the development of a firm-wide risk assessment that addresses regulatory and business risks, identifies and establish controls to mitigate those risks, and helps define the annual review process • Assist with the annual SEC review and testing requirements including on-going reviews of portfolio management, trading, billing, cybersecurity, vendor due diligence, advertising, conflicts of interest, and other high risk areas • Conduct office inspections of WM advisory teams to verify compliance with legal, regulatory and firm requirements and track identified inspection deficiencies to ensure all identified items are timely and appropriately addressed • Support the development and implementation of new technology adopted by WM to ensure compliance is built into the use of these systems • Assist with any regulatory examinations or inquiries • Assist with annual compliance meeting, new hire onboarding, and other compliance training initiatives, including serving as a technical resource on compliance related processes and procedures; liaise with partners and staff on compliance questions • Assist in the planning, coordination and delivery of our team's annual testing plan • Identify and evaluate the effectiveness of existing controls • Prepare detailed work papers to support the results of the testing program • Structure and propose remedial actions to address identified issue

Requirements

Required Qualifications • Strong and comprehensive expertise in FINRA, SEC, and wealth management / financial services compliance and risk management • Bachelor’s degree • 7+ years of overall compliance management experience • 5+ years of compliance experience within a financial service firm, wealth management firm, and/or an SEC registered investment adviser • Strong knowledge of SEC registered investment adviser rules • Strong written and oral communication skills; high level of interpersonal skills to handle sensitive and confidential situations; professional demeanor in both low stress and highly charged situation • Effective problem resolution and change management skills • Judgement and ability to prioritize to effectively manage workload Preferred Qualifications • Master’s degree • CPA, CFP, or other professional designation in the accounting or financial services industry • Experience working with multiple RIAs, and ideally those aligned with PWM firms, either directly or in a consulting role

Robert Half Finance & Accounting, the world's leader in specialized financial staffing, provides exciting full-time opportunities in the areas of accounting, bookkeeping, finance, audit, taxation and more. We pioneered the professional staffing industry, and we've been successfully matching professionals with employers since 1948. Our proven proprietary processes, along with our relationships in 325 locations worldwide, allow us to provide you unparalleled access to exciting career opportunities. But don't take our word for it. Our company has appeared on Fortune® magazine’s list of “World's Most Admired Companies” since 1998, and 9 out of 10 of our customers would recommend our service to a colleague.

Apply for this job now or contact our nearest office at 888.490.5461 for additional information.

All applicants applying for U.S. job openings must be authorized to work in the United States. All applicants applying for Canadian job openings must be authorized to work in Canada.

© 2019 Robert Half Finance & Accounting. An Equal Opportunity Employer M/F/Disability/Veterans.

By clicking 'Apply Now' you are agreeing to Robert Half Terms of Use.

Job Snapshot

Location US-GA-Atlanta
Employment Type Full-Time
Pay Type Year
Pay Rate N/A
Store Type Accounting, Finance
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Company Overview

Robert Half

Robert Half is America’s top staffing agency, dedicated to helping talented people like you find rewarding temporary and full-time jobs with today’s leading companies. Our staffing experts work closely with local hiring managers and use AI-powered matching technology to find opportunities that match your skills and professional goals. With decades of experience in placing accounting, finance, administrative, technology, creative, marketing and legal professionals, we’ll help ensure your next career move is a successful one. Learn More

Contact Information

US-GA-Atlanta
Recruiter
404- 846-9010
404- 846-3568
Snapshot
Robert Half
Company:
US-GA-Atlanta
Location:
Full-Time
Employment Type:
Year
Pay Type:
N/A
Pay Rate:
Accounting, Finance
Store Type:

Description

Ref ID: 00900-0011368875

Classification: SEC Compliance Manager/Director

Compensation: $100000.00 to $125000.00 yearly

Our client is seeking a permanent Compliance Director to join their growing private wealth management firm with four offices. The Director will partner with the Chief Financial Officer to heavily support SEC and FINRA regulatory compliance functions. Key responsibilities will include administering the firm’s compliance program and reasonably mitigating the risk of violating FINRA, SEC, legal, regulatory or firm requirements. This role will lead projects primarily focused on the on-going development and implementation of the compliance programs, monitoring entity and employee compliance, developing and establishing policies and procedures, and following up on any deficiencies identified to ensure timely resolution. Responsibilities • Develop, implement and maintain policies and procedures reasonably designed to comply with FINRA and SEC rules, regulations and firm requirements, including an assessment of new rules and incorporating them into the compliance program • Develop and maintain policies and supporting service agreements related to delivering investment advisory and other wealth management services in a multi-location environment • Assist in the development of a firm-wide risk assessment that addresses regulatory and business risks, identifies and establish controls to mitigate those risks, and helps define the annual review process • Assist with the annual SEC review and testing requirements including on-going reviews of portfolio management, trading, billing, cybersecurity, vendor due diligence, advertising, conflicts of interest, and other high risk areas • Conduct office inspections of WM advisory teams to verify compliance with legal, regulatory and firm requirements and track identified inspection deficiencies to ensure all identified items are timely and appropriately addressed • Support the development and implementation of new technology adopted by WM to ensure compliance is built into the use of these systems • Assist with any regulatory examinations or inquiries • Assist with annual compliance meeting, new hire onboarding, and other compliance training initiatives, including serving as a technical resource on compliance related processes and procedures; liaise with partners and staff on compliance questions • Assist in the planning, coordination and delivery of our team's annual testing plan • Identify and evaluate the effectiveness of existing controls • Prepare detailed work papers to support the results of the testing program • Structure and propose remedial actions to address identified issue

Requirements

Required Qualifications • Strong and comprehensive expertise in FINRA, SEC, and wealth management / financial services compliance and risk management • Bachelor’s degree • 7+ years of overall compliance management experience • 5+ years of compliance experience within a financial service firm, wealth management firm, and/or an SEC registered investment adviser • Strong knowledge of SEC registered investment adviser rules • Strong written and oral communication skills; high level of interpersonal skills to handle sensitive and confidential situations; professional demeanor in both low stress and highly charged situation • Effective problem resolution and change management skills • Judgement and ability to prioritize to effectively manage workload Preferred Qualifications • Master’s degree • CPA, CFP, or other professional designation in the accounting or financial services industry • Experience working with multiple RIAs, and ideally those aligned with PWM firms, either directly or in a consulting role

Robert Half Finance & Accounting, the world's leader in specialized financial staffing, provides exciting full-time opportunities in the areas of accounting, bookkeeping, finance, audit, taxation and more. We pioneered the professional staffing industry, and we've been successfully matching professionals with employers since 1948. Our proven proprietary processes, along with our relationships in 325 locations worldwide, allow us to provide you unparalleled access to exciting career opportunities. But don't take our word for it. Our company has appeared on Fortune® magazine’s list of “World's Most Admired Companies” since 1998, and 9 out of 10 of our customers would recommend our service to a colleague.

Apply for this job now or contact our nearest office at 888.490.5461 for additional information.

All applicants applying for U.S. job openings must be authorized to work in the United States. All applicants applying for Canadian job openings must be authorized to work in Canada.

© 2019 Robert Half Finance & Accounting. An Equal Opportunity Employer M/F/Disability/Veterans.

By clicking 'Apply Now' you are agreeing to Robert Half Terms of Use.

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