Well-regarded RIA is seeking a senior compliance officer to join their team.

This team member will oversee the firm's compliance program, and work collaboratively with senior management.

Design, implement, and enhance the firm’s compliance policies and procedures.
Maintain the firm’s Code of Ethics and ensure employee adherence.
Monitor and interpret changes to laws, regulations, and industry guidelines relevant to investment advisory firms.
Ensure compliance with SEC, FINRA, and other applicable regulatory bodies.
Oversee regulatory filings, including Form ADV, Form CRS, and other periodic disclosures.
Serve as a trusted advisor to senior leadership and employees on compliance matters.
Develop and deliver training programs to educate employees on compliance requirements, ethics, and best

Requirements:

7-10 years of compliance experience in financial services, preferably in investment advisory firms or private wealth management.
Strong knowledge of SEC regulations, including the Investment Advisers Act of 1940.
Experience managing regulatory examinations, audits, and inquiries.
Excellent written and verbal communication skills
Ability to thrive in an ever-changing, fast paced environment
Ability to work independently as well as with a team