Compliance Officer
Skills
- Strong organizational and critical thinking skills
- Excellent communication with internal stakeholders
- Experience with compliance monitoring and management systems
- Ability to develop and conduct compliance testing
- Proficient in vendor management programs
Responsibilities
- Assist in administering the firm's Code of Ethics via automated compliance monitoring systems
- Conduct and develop compliance tests to ensure regulatory adherence
- Support and develop the firm's compliance training programs and materials
- Prepare and assist with various regulatory filings including Form ADV, Form PF, 13H, and 13F
- Update the Compliance Manual regularly
- Prepare quarterly and annual compliance certifications, DDQs, RFPs, and attestations
- Lead onboarding and mentoring of junior compliance staff or manage third-party service providers
- Maintain the Compliance Calendar and vendor due diligence programs
- Support the firm's privacy data program
Education
- Bachelor's degree required
Benefits
- Competitive base salary
- Equal employment opportunity employer
- Inclusive and diverse workplace culture
Average salary estimate
If an employer mentions a salary or salary range on their job, we display it as an "Employer Estimate". If a job has no salary data, Rise displays an estimate if available.
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