What are the responsibilities and job description for the Compliance Manager - 1093476 position at Adams Keegan?
Our client is a Memphis based independent, SEC-registered investment adviser serving individuals, business owners, foundations and non-profits. They are searching for experienced candidates to assist in managing the compliance program for the firm. As a Compliance Manager, you will work directly with the Chief Compliance Officer to assist in implementing and maintaining all aspects of the firm’s compliance program, as well as regulatory and legal matters aimed at developing and maintaining an effective investment advisory compliance program.
Responsibilities for Compliance Manager will include, but are not limited to:
- Assist in the review and development, maintenance, and implementation of compliance policies and procedures for the firm’s investment advisory business, including Code of Ethics by helping to identify and assess new business and regulatory risks, personal trading activities, reporting of business gifts and entertainment, and outside business activities of Access Persons
- Support ongoing compliance testing for the business, including annual and ongoing risk assessments of compliance programs, and create new testing as necessary in response to regulatory or business needs, and to effectively manage and mitigate compliance risk
- Assist in the review of the firm’s marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory requirements
- Assist in the testing and implementation of compliance technology systems, including compliance monitoring and surveillance program to assess the effectiveness of its policies and procedures
- Assist in updating the firm's Compliance Policies and Procedures Manual (as needed)
- Assist with compliance training and guidance to internal business associates on investment advisory compliance issues and permissible activities under the firm’s policy and Investment Advisers Act of 1940
- Proactively identify and assess SEC proposed regulations that may require the firm’s compliance program to be updated to ensure compliance
- Review and monitor trade error corrections
- Assist in maintenance of compliance books and records, as well as oversight of proper maintenance of firm’s books and records
- Provide compliance support to regulatory examinations including compiling information requested, interface with SEC and other auditors, when necessary
- Maintaining regulatory filings, including Form ADV and its advisory and wrap fee brochures, and other disclosure documents, as necessary, and U4/U5 for associated persons. Prepare annual amendments and interim updates and filings. Assist in overseeing ADV delivery in a timely and accurate manner.
- Conduct periodic review of employees’ firm email communications
- Work with IT team on cybersecurity/compliance matters
- Perform ongoing monitoring as required by compliance programs
- Additional responsibilities relating to compliance matters, as necessary
Qualifications for compliance analyst
- A minimum of 4 years investment advisory experience in a compliance or legal role
- Working knowledge of the Advisers Act, SEC rules and regulations and no-action letter guidance for RIAs, as well as familiarity with FINRA and Department of Labor regulations affecting RIAs
- Demonstrate sound judgment and apply logical risk-based critical thinking skills, and strong written and oral communication skills among different business audiences
- Series 65 required
- Ability to research and understand complex regulatory standards
- Experience in compliance or auditing with a registered investment adviser or equivalent experience at a financial institution
- Ability to effectively interact and communicate with all levels of staff. This role interacts with the entire firm
- Ability to be proactive and follow-up to resolve issues in a timely manner
- Ability to function with a high degree of independence
- High attention to detail and accuracy
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