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Form of workJob Description
Investment or Securities Industry
Great opportunity in the Brookhaven area of Atlanta (must be local to the area) for an experienced Advisory Compliance Analyst who's experience is in Investment or Securities companies/firms.
Training will be 100% on location in the office. The work schedule will hybrid after training. This position will likely promote into CCO.
Position Summary
Great opportunity in the Brookhaven area of Atlanta (must be local to the area) for an experienced Advisory Compliance Analyst who's experience is in Investment or Securities companies/firms.
Training will be 100% on location in the office. The work schedule will hybrid after training. This position will likely promote into CCO.
Position Summary
Implement and manage the compliance program for Strategic Blueprint, and provide support to the compliance programs of sister investment adviser company.
Qualifications:
- Bachelor’s degree.
- Series 65 (investment), or Series 7 (securities) and Series 66 (securities & investment) preferred
- 5+ years of experience in a compliance role for an SEC-registered investment adviser
- Familiarity with Investment Adviser’s Act of 1940, the Rules thereunder, and the SEC’s New Marketing Rule (eff. November 4, 2022).
- Proficient in Word, Excel, and Power Point.
- Excellent written, oral and presentation skills.
- Patient with excellent listening skills.
- Experience in independent channel of broker-dealer and/or investment adviser preferred.
- Advisor-friendly attitude: willingness to work with independent and strong-minded financial advisors.
- Ability to analyze situations for compliance and business risk, and implement solutions to address and mitigate such risk.
- Detail-oriented, investigative and ability handle a high volume of work independently.
- Professional integrity.
- A self-starter who enjoys a team-oriented approach.
- Ability to multi-task and set priorities.
Duties and Responsibilities:
- Review, maintain, and update the Firm’s regulatory filings, including those with the SEC. Examples include Forms ADV (1A, 2A, 2B, 3) and Section 13 Filings.
- Develop (working with other stakeholders), maintain, and update the Firm’s comprehensive compliance program, including compliance policies and procedures.
- Keep abreast of changing regulatory requirements.
- Conduct employee and advisor training with respect to the compliance program.
- Conduct the SEC-required annual review of the Firm’s policies and procedures, including testing of the policies and procedures, and draft report to management regarding the same.
- Conduct risk assessments; recommend risk mitigation techniques and controls.
- Maintain the required compliance and corporate files as mandated by the SEC and other applicable regulators.
- Review marketing materials and investor communications to ensure compliance with relevant laws and regulations, working with the SFAP Communications Principal.
- Monitor the Firm’s code of ethics/personal trading policies.
- Respond to regulatory inquiries and third-party examiners.
- Conduct appropriate surveillance of business activities, including a review of portfolios managed by advisory representatives.
- Interact with various departments within the organization to help ensure consistency in policies and procedures.
- Monitor new legal and regulatory developments and update policies and, with input from other interest holders, update procedures accordingly.
- Liaison with SFA Partners Shared Services to help ensure consistent application for firm’s processes and procedures, including:
- Registrations
- On-boarding new advisors
- Firm element CE
- Annual Certifications
- Annual Compliance Questionnaires
- Collection of Quarterly and Annual Transaction Reports
- Advisor Personal Trade Review (RegEd Tool)
- Marketing (Corporate)
- Annual Privacy/Summary Mailing
- Outside Business Activities
- Branch Reviews
- Supervision
- Finance and Accounting
- Serve as daily resource to co-workers and advisors, providing advice pertaining to policy, regulations, or other ad hoc issues.
- Facilitate compliance programs for sister investment adviser company.
- Assist with projects and initiatives involving technology and data analysis to develop, enhance, and automate compliance processes and test systems.
- Implement and support the department’s strategic direction, vision & mission in alignment with the Company’s strategy.
- Responsible for visibly supporting the Company’s business initiatives and the initiatives of other departments.
