The CA will report to the Chief Compliance Office (CCO). The successful candidate will possess 2-3 years of working knowledge of the U.S. securities laws, regulation of investment advisers, and the administration of adviser compliance programs. The CA candidate must have a strong work ethic, attention to detail, as well as a strong command of the English language with emphasis on writing, grammar, and punctuation. Also, familiarity with industry applications such as trading, portfolio management systems, and reporting software are essential to this position. Strong problem-solving and decision-making skills will also be beneficial to the success of this position. The CA is expected to make a direct impact to the business by leading the development and monitoring of business systems and processes to ensure that the Firm meets regulatory expectations and Firm policy objectives. JOB RESPONSIBILITIES: Responsibilities will include, but are not limited to: · Assist the CCO with the regular reviews and amendments of internal policies and procedures. This includes: i) internal annual reviews to determine the adequacy and the effectiveness of the implementation of D&Y internal policies and procedures and ii) develop responses, including new policies and procedures, to internal reviews and audits. · Support efforts alongside CCO and other departments to maintain compliance-related business systems, data management, and data integrity including but not limited to; i) performance and composite data compliance, ii) trade reconciliation, iii) performance distribution, iv) IPS status, v) regulatory disclosure delivery, vi) books and records, vii) monitoring securities definitions and reorganizations, and viii) other relevant business data. · Assist with periodic compliance tests, internal audits, and the administration of the annual compliance program review as required by Rule 206(4)-7. · Assist with the assessment of business risks based regulatory updates and changes to business model. Assist with conducting regular risk assessments of compliance program against regulatory best practices and statutory requirements. · Manage new and existing vendor due-diligence process, ensuring start to finish completion of the internal due-diligence process. · Maintain our proxy voting files, client information, and voting records. · Support the COO in evaluating the suitability of advertising and marketing materials, including RFPs, RFIs, and industry surveys, against regulatory prohibitions and industry standards. · Work with the CCO to draft new disclosures where necessary for general advertising, sales, and marketing materials, and train other professionals in required disclosures to assist in their compliance-related responsibilities. · Manage, and maintain the Firm's compliance technology reporting system including the Firm's Code of Ethics administration through reviewing, monitoring, and approving pre-approval requests for personal trades and monitoring for Code of Ethics violations. · Manage securities claims and class action litigation client data requests from the Firm's outsourced claims processing vendor. · Oversee compliance aspects of the recording and processing of daily client checks received by the Firm. · Assist with regulatory filings including but not limited to Form ADV, 13F and 13H. · Review confirmations of trades for adherence to firm processes. · Attend, create agendas, and take meeting minutes for Compliance Meetings; coordinate meetings and schedules. · Represent and provide guidance on compliance-related matters within Firm committees and initiatives. · Lead special compliance-related projects, as assigned, and collaborate with the other team members on routine and ad hoc projects. · Other duties and projects as assigned. QUALIFICATIONS AND REQUIREMENTS: · BA/BS degree required · Minimum two (2) to five (50) years of work experience in Financial Services; exceptional working knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, and other relevant regulatory requirements. · Experience with operations of a Registered Investment Adviser (RIA) firm. · Experience with Schwab Web and Schwab Institutional, Tamarac, and Salesforce CRM a plus. · Excellent written and oral communication skills required, including spelling, grammar, punctuation, and business writing. · Proficient in all MS Office applications, particularly Word, Excel, and Outlook. · Professional, personable, tactful, efficient, and self-motivated. · Strong interpersonal skills and sense of teamwork valued. · Strong organizational skills, multitasking, accuracy, service-minded, and meticulous adherence to details required. · Entrepreneurial-minded approach to business; small/midsize company experience preferred. · Strong written and verbal communications skills.
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