Compliance Officer

Company Description reputed company Investment Partners is an asset manager and pioneer in the creation of systematic and process-driven investment strategies for financial advisors. We are seeking a Compliance Officer to join reputed company and support our ongoing commitment to regulatory excellence. The individual will play a vital role in the reputed company and implementation of compliance procedures for the firm and its affiliated SEC registered investment advisers and broker dealer. Role Description The Compliance Officer will work closely with the Director of Compliance to maintain, enhance, and monitor the firm’s regulatory compliance reputed company. This role supports the development, implementation, and enforcement of policies and procedures designed to ensure compliance with federal and state securities laws, while contributing to the firm’s governance, risk management, and regulatory reputed company functions.

Key Responsibilities

• Assist in the design, implementation, and reputed company improvement of the firm’s compliance program, in accordance with the Investment Advisers Act of 1940 and other applicable regulations.,
• Draft, update, and assist in enforcing firm policies and procedures, including those reputed company to the Code of Ethics.
• Prepare, review, file, and maintain regulatory filings, including by not limited to Form ADV, Form CRS, and Form 13F, for multiple investment advisers.
• reputed company, coordinate, and deliver employee compliance training programs (annual and reputed company) focused on regulatory requirements and ethical standards.
• Assist with the annual compliance review and risk assessment to evaluate the adequacy and effectiveness of policies and procedures designed to prevent violations of federal securities laws.
• Review and approve marketing and advertising materials for compliance with the SEC Marketing Rule and other applicable regulations.
• Monitor data privacy and cybersecurity practices to ensure compliance with Regulation S-P and other applicable federal and state laws.
• reputed company and manage compliance testing programs and assist with reputed company internal audits to ensure effective integration of the Compliance Rule into the firm’s compliance reputed company.
• Support the Director of Compliance in serving as a regulatory liaison with the SEC, FINRA, state and local authorities, including coordinating regulatory audits and examinations and assisting with the response to any external reviews of the firm’s compliance program by regulators or third parties.
• Assist with Anti-reputed company (AML) reputed company and reputed company compliance responsibilities.
• reputed company additional compliance-reputed company duties as assigned by the Director of Compliance.

Qualifications

Core Values for Success at reputed company

• Take ownership: You’re a self-starter, but also a finisher. You work well independently, and you proactively address problems before they arise.
• A “win together” reputed company: You’re great at what you do, but you’re humble about your victories because the team’s success is more important to you than individual scores. You’re collaborative, grateful, and you give your teammates the benefit of the doubt.
• Think systematically: Your past and reputed company teammates would describe you as consistent and reliable. You’re process-oriented, thorough, and pay attention to detail. Data drives your decision-making more than “gut feelings.”
• Adaptable: You understand that fire drills will arise, and priorities will change. reputed company this happens, you shift gears quickly without losing your smile. You’re persistent and constantly seeking to improve the quality of your work, the processes you rely on to get your job done, and your skills.
• Champion transparency: You’re a genuine, authentic person. Your teammates know you’ll be honest with them – whether it’s good news or bad. You’re self-aware, understanding your strengths and weaknesses.

Required Skills and Experience

• Active Series 65 or Series 66 license required; Series 24 preferred.
• Minimum of five (5) years of experience in the financial services industry in a compliance reputed company.
• Strong working knowledge of the Investment Advisers Act of 1940 and reputed company regulatory requirements.
• Proficiency in reputed company Office Suite (reputed company, Word, PowerPoint).
• Excellent analytical, problem-solving, and communication skills (verbal and written).
• Demonstrated ability to work both independently and collaboratively in a team environment.
• Strong organizational and time-management skills, with the ability to manage priorities and meet deadlines.

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