Manager Compliance

Profile

Manager, Compliance

Duties: Under the general direction of the Managing Director, Head of Legal & Compliance, will own and drive the development and administration of Group’s Compliance Program in connection with its registration as a Registered Investment Adviser. Oversees the administration of Group's Code of Ethics. Develops and implements compliance training/education programs and tracks participation. Oversees Compliance calendar to ensure various deadlines are met. Designs risk-based testing to review and assess the effectiveness of policies and procedures. Formulates a testing schedule to address said risks, and execute tests throughout the year. Tracks progress in complying with any test findings. Evaluates all exceptions to compliance policies and procedures and creates updated processes accordingly and coordinates with Compliance Committee. Creates, reviews and updates the compliance responsibility and delegation chart for the firm. Performs regular reviews of compliance policies and procedures and updates compliance manual and related documents. Reports significant compliance issues and relevant updates, significant regulatory developments and internal compliance initiatives. Coordinates and completes all government, regulatory and other corporate and compliance documents for the organization. Updates and maintains all necessary documentation for SEC examinations of the firm. Reviews all marketing materials for RIA compliance. Maintains detailed knowledge base of all applicable regulations and best practices related to Registered Investment Advisers and implements required changes. Provides compliance support, advice and counsel to new and existing employees. Establishes and maintains positive relationships with applicable regulators, compliance organizations, compliance consultants, outside counsel and peers in the industry. Reviews, evaluates, implements, maintains and monitors usage of all compliance software for the firm. Prepares compliance desk procedures and communications to employees. Manages the logistics of Legal and Compliance web-based and proprietary systems (e.g., TR World Check, Compliance 11, etc.) to ensure compliance with insider trading and political contribution policies and other RIA required items. Prepares regulatory filings (e.g, Forms ADV, PF and TIC, written responses to formal regulatory inquiries). Acts as a resource on a daily basis for compliance, regulatory, policy, as well as on new legal and compliance initiatives and business changes. Conducts background checks on new investors to ensure compliance with Anti Money Laundering and Know Your Customer requirements. Provides assistance with ad-hoc legal and compliance projects and requests.

Company info

Sign Up Now - MiamiCrossing.com