Compliance Officer – Asset Management

Our client is seeking to appoint a Compliance Officer to its esteemed team. As an integral member of the compliance function, you will be entrusted with safeguarding the organization’s adherence to regulatory obligations and internal protocols, whilst engaging collaboratively with colleagues at all levels.

Key Requirements:
In the capacity of Compliance Officer – Asset Management, you will play a central role in fortifying the integrity of the firm’s operations by supporting the Chief Compliance Officer in advancing a robust compliance framework. Your daily undertakings will encompass close cooperation with teams spanning wealth management, trading, and advisory functions. You will be entrusted with responsibilities including but not limited to monitoring wrap fee programme accounts, conducting best execution reviews, managing registrations, supervising electronic communications, assisting during regulatory examinations, performing trade surveillance, reviewing personal trading activities, and executing business process audits. To excel in this position, you must demonstrate meticulous attention to detail, refined interpersonal skills conducive to effective collaboration with both internal teams and external parties, as well as a steadfast commitment to ongoing professional development within an ever-evolving regulatory landscape.

• Assist the Chief Compliance Officer in formulating and overseeing the compliance programme for an SEC-registered investment advisor, ensuring all processes are meticulously aligned with prevailing regulations.
• Undertake responsibility for monitoring and evaluating client accounts within the firm’s wrap fee programme, ensuring scrupulous accuracy and conformity with established standards.
• Conduct comprehensive best execution reviews and monitor trading activity within managed accounts in the Wealth Management Division to uphold exemplary industry practices.
• Administer the registration process for Investment Advisor Representatives, ensuring all requisite documentation is completed accurately and in accordance with regulatory expectations.
• Oversee employees’ electronic communications to ensure unwavering compliance with both internal policies and external statutory requirements.
• Support all facets of regulatory examinations and inquiries by preparing thorough documentation, liaising with regulators, and providing detailed responses as required.
• Execute trade surveillance activities to identify any potential anomalies or irregularities in trading patterns across various accounts.
• Assist in reviewing personal trading activity for all United States-based employees to maintain transparency and preclude conflicts of interest.
• Conduct exhaustive business process reviews and compliance audits to confirm that company operations are fully compliant with both external mandates and internal control procedures.
• Collaborate effectively with colleagues at every organizational tier as well as external stakeholders such as regulators, fostering open communication and mutual understanding.

Key Responsibilities:
For this Compliance Officer – Asset Management appointment, your established record within SEC-registered investment advisers or hedge funds will be indispensable. You offer not only technical proficiency but also refined interpersonal capabilities that enable seamless collaboration across departments. Your familiarity with wrap account programmes ensures swift adaptation to evolving client requirements while upholding rigorous standards. A profound understanding of regulatory obligations allows you to anticipate challenges proactively. Your ability to communicate articulately—both verbally and in writing—will foster trust among colleagues and external partners alike. By combining analytical discernment with empathy for others’ perspectives, you will contribute significantly to operational excellence as well as a harmonious workplace culture.

• Possession of a bachelor’s degree or equivalent professional experience evidencing your dedication to advancement within financial services.
• Three to five years’ tenure in a compliance officer capacity at an SEC-registered investment adviser or hedge fund, reflecting your practical familiarity with industry imperatives.
• Demonstrated experience at an investment advisory firm managing wrap account programmes and retail clients, underscoring your adaptability within varied client contexts.
• Thorough knowledge of SEC investment advisor requirements and filings enabling you to navigate intricate regulatory frameworks with assurance.
• Familiarity with platforms such as the SEC’s IARD system, FINRA Gateway, or StarCompliance is highly regarded for facilitating efficient workflow management.
• Aptitude for operating within environments characterized by high activity while maintaining precision and composure under pressure.
• Capacity to consult judiciously with individuals at all organizational strata as well as external stakeholders, including regulators.
• Exemplary analytical reasoning skills coupled with sound judgement that underpin responsible decision-making processes.
• Outstanding verbal and written communication abilities that promote clear information exchange across diverse teams.
• Commitment to enhancing productivity and profitability through diligent adherence to compliance practices.

What sets this company apart:

• This asset management firm distinguishes itself through its steadfast commitment to ethical conduct, professional advancement, and employee well-being.

What's Next:
If interested in this position, please contact Daniela Garcia at +1 332 205 3839 or Daniela.Garcia@robertwalters.com