Job Description
Job Description
Job Description
What you will be doing:
- Provide leadership and vision to the Compliance function of the firm.
- Design, implement, and oversee the organization's compliance program.
- Ensure adherence to all applicable laws, regulations, and internal policies across all business functions.
- Monitor activities, conduct audits, and investigate potential violations to mitigate legal and reputational risks.
- Act as the guardian of ethical business practices within the company.
- Liaison and be the first point of contact with Broker Dealer in ongoing management of the firm compliance function.
- Manage the Mainspring Compliance Team to ensure timely completion of annual reviews of registered and non-registered meeting locations.
- Oversee daily, weekly, monthly, and annual testing to detect regulatory violations and ensure compliance with regulations and firm policies.
- Manage regulatory filings and advise on regulatory issues in conjunction with Broker Dealer.
- Develop training materials and educate employees about regulatory and legal requirements.
- Review and approve marketing materials, including fund-related materials and presentations.
- Assist with the preparation and submission of regulatory filings with third-party consultants.
- Provide support and input to Broker Dealer in the development and maintenance of internal legal and compliance systems.
- Manage the drafting, updating, and revising of the firm’s compliance policies and procedures.
- Work with Broker Dealer to manage the dissemination of compliance reports and training materials relating to the Investment Advisers Act of 1940.
- Collaborate with leadership on the preparation and submission of regulatory filings required by regulatory authorities.
- Manage compliance of the firm’s Code of Ethics and regulatory compliance programs.
- Support the overall team in implementing best practices for compliance with internal controls.
- Monitor and alert management on current regulatory issues, risks, and deadlines.
- Evaluate and implement the latest technology solutions for compliance-related surveillance.
- Communicate proactively with supervisors, registered representatives, and investment advisory representatives.
- Manage regulatory exams, inquiries, responses, and investigations with federal and state regulators.
- Ensure compliance with the annual calendar for regulatory deadlines, filings, audits, and internal reviews.
- Manage the Firm's FINRA Gateway filings, including Form BD, U4s, U5s, and state registrations.
- Collaborate and review Written Supervisory Procedures and guidance for registered representatives and personnel.
- Improve the efficiency of the Firm's supervisory system.
- Conduct risk assessments and internal reviews of the Firm's activities and test the effectiveness of policies and procedures.
Experience you will need:
- FINRA registration including Series 7, Series 66, Series 9, and 10, and required insurance licenses.
- State regulatory knowledge and experience.
- Self-starter with strong organizational skills and attention to detail.
- Strong persuasive and interpersonal skills.
- Problem solver and goal-oriented team player with a 'no job is beneath me' mentality.
- Ability to work independently.
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