NextPath Career Partners is currently seeking a Compliance Manager to join our client’s team in St. Petersburg, FL. This is an onsite, direct hire position.
SALARY: $100-$120K +bonus (depending on experience)
Unfortunately, at this time our client is unable to sponsor or transfer visas. Only candidates authorized to work in the US without sponsorship should apply.
REQUIREMENTS:
- Bachelor’s degree or equivalent experience
- 4-6 years of experience supporting the compliance program of an RIA and/or working for the SEC with respect to RIAs
- Substantial knowledge of the Investment Advisers Act of 1940 and ERISA
- Familiarity with regulatory and operational framework of RIAs
- Experience with the creation, formation, and launch of investment adviser entities
- Superior communication skills, written and spoken, for both one to one and larger audiences.
- Self-starter that can independently take a project and move it forward without manager intervention
- Able to manage multiple tasks in a fast-paced business environment.
- Some domestic travel as necessary.
RESPONSIBILITIES:
- Assist in developing compliance programs and best practices for our network of RIAs
- Project management of process improvement initiatives taking independent lead with support from team leader
- Interact with compliance resource providers and assist in achieving quality and uniformity in the deliverable.
- Perform ongoing diagnostic reviews of the Network RIA compliance programs and regulatory exams.
- Follow up on internal and regulatory deficiencies within the Network to ensure proper procedures and controls are in place for Network teams.
- Keep up to date on SEC Rules and other regulations that may impact the Network RIAs
- Supervise compliance personnel who support the department
- Communicate important compliance matters or other Network developments in a timely manner to the Network Compliance team and management.
- Train internal and Network Compliance employees on compliance policies and procedures.
- Assist Network RIAs with SEC exams and other regulatory requests
- Comfort presenting to large audiences in person and in digital forms including but not limited to conferences, webinars, and recorded trainings.
NEXTPATH CAREER PARTNERS:
NextPath is a candidate centric recruiting firm focused on your career goals to help you find your next path! Our team of professional recruiters have over 80 years of combined experience to help you navigate a job change. Our clients span local and national with roles in sales, creative, marketing, and staffing on a direct, contract-to-perm, and contract (project) basis.
If the position above doesn’t appear to fit, we do have a host of clients with roles that could be a match and not every position will be posted. Feel free to reach out to find a better match by emailing your resume to apply@nextpathcp.com for a recruiter to engage.
We are an Equal Opportunity Employer
View all open jobs: http://www.nextpathcp.com
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