We are seeking an experienced Senior Compliance Officer for our client. This individual will play a key role in managing and enhancing the firm's SEC/RIA compliance program, regulatory examinations, surveillance, and risk oversight.
Responsibilities:
Support the development and ongoing management of the firm's SEC compliance program.
Monitor regulatory developments and assess their impact on the firm.
Maintain the Code of Ethics and applicable compliance policies and procedures.
Lead monitoring, surveillance, supervision, and new business review activities.
Identify compliance and regulatory risks and implement appropriate controls.
Serve as a key compliance resource for investment professionals and business leadership.
Support SEC examinations, regulatory inquiries, and other external reviews.
Coordinate regulatory requests and documentation with outside counsel and consultants as needed.
Oversee remediation and corrective actions resulting from regulatory or internal reviews.
Support compliance training, annual certifications, and internal audits.
Participate in the onboarding and supervision of investment professionals.
Qualifications:
8+ years of securities industry experience in compliance or supervision.
Strong SEC-registered investment adviser (RIA) compliance experience.
Experience with regulatory examinations, surveillance, monitoring, and risk management.
Bachelor's degree required.
Strong communication, analytical, and organizational skills.
Bilingual English/Spanish required; Portuguese is a plus.
