Posted: Thu Nov 16 2023
Troy, MI
Compliance Officer | Troy, MI
Growing investment advisory firm seeks experienced Compliance Officer to join their team to provide regulatory support.
Responsibilities:
Monitor and interpret regulatory developments, ensure the firm's operations are compliant with all rules/regulations
Develop, update, and implement compliance policies/procedures to mitigate risk and maintain a robust compliance framework
Conduct risk assessments to identify potential compliance vulnerabilities and develop strategies to mitigate these risks
Provide compliance training to investment advisors, ensuring a thorough understanding of regulatory requirements and best practices
Perform internal audits and reviews to assess compliance with established policies and procedures
Prepare reports for management and regulatory bodies, documenting compliance efforts, violations, and resolutions
Requirements:
Bachelor's degree
10+ years compliance experience
Series 65 license
Strong understanding of financial regulations (SEC, FINRA, etc.)
Excellent analytical skills with an ability to interpret complex regulations and assess their impact on the business
Exceptional communication/interpersonal skills to collaborate with members of the investment team
Detail-oriented with a proactive approach to identifying and addressing compliance issues