Job Tit le
Investment Adviser Compliance
Our Funct ion
As part of the Investment Advisory Compliance Group, this position will support firm’s compliance
program regarding its regulatory, contractual, and compliance requirements associated with its activities as a
registered investment adviser. This role will be responsible for oversight of various compliance functions,
including providing support and training to staff responsible for administration of employee conduct polices,
regulatory filings and firm compliance training program. An important part of the role will be to develop
and enhance the compliance program’s effectiveness in accordance with regulatory expectations and evolving
best practices. Additional responsibilities include administration of firm compliance risk monitoring
program, maintenance of policies and procedures, facilitation of internal and external audits as well as the
implementation of compliance forensic testing program, tracking regulatory updates and implementing
changes to comply with new and amended regulation, and providing general compliance oversight and
guidance to the business. This is an opportunity for a confident, experienced, and knowledgeable individual to
take a high visibility role in Compliance department.
Your Impact
The scope and responsibilities of this role will not be static. As the business needs and compliance objectives
change, the responsibilities of this position are expected to evolve to meet the changing regulatory landscape
and departmental deliverables. Responsibilities, include, among other things:
▪ Supervise and support staff responsible for administration of firm's employee conduct policies,
including monitoring for personal trading, gifts and entertainment and political contributions activity, in
a player-coach role;
▪ Continuously review and enhance the firm’s compliance policies and procedures in accordance with
evolving regulatory expectation and business practices;
▪ Track and analyze regulatory updates, including proposed and new regulations, risk alerts and
regulatory guidance for impact on firm’s business;
▪ Administer the Compliance Risk Monitoring Program, including testing and oversight of policies and
recommend enhancements to business processes and internal controls;
▪ Draft and implement procedures for compliance monitoring activities and forensic testing;
▪ Maintain relationships with compliance related vendors, identify issues, keep abreast of system
enhancements, and make recommendations to workflows to best utilize the system(s)
▪ Prepare materials for internal governance bodies and continually look for opportunities to enhance
reporting through data analytics;
▪ Serve as compliance point person for the areas covered as well as various Prudential/PGIM
compliance programs and initiatives;
▪ Oversee execution of the annual third-party compliance review and other internal and external audits;
including document production and action plan tracking;
▪ Oversee and provide support for regulatory filings, including Section 13 filings, Form ADV and Form PF;
▪ Develop and deploy compliance training;
Support the process of onboarding new clients, provide guidance as to compliance implications
associated with investment management agreements and sub documents for private funds;
▪ Collaborate with firm and compliance colleagues to drive coordinated outcomes;
▪ Integrate industry benchmarking and best practices through ongoing research, education and industry
affiliations.
Your Required Skills
Your required skills must include:
▪ Prior compliance experience at a registered investment adviser preferably with testing, risk
assessments and policies and procedures maintenance
▪ Strong knowledge of the Investment Advisor’s Act of 1940 and other relevant securities laws
▪ Minimum of 7-10 years compliance experience working with an investment management firm
▪ FINRA Licenses (Series 7 & 24) a plus but not required
▪ Excellent written and oral communication skills with ability to interface with and influence senior
management as well as other peers and colleagues
▪ Established ability to multi-task, prioritize and organize time effectively in a fast-pace environment with
changing deadlines
▪ Ability to exercise sound judgment and discretion in identifying, escalating and resolving issues
Demonstrates strong analytical skills and attention to detail consistently
▪ Experience managing and developing staff
▪ Solid research skills and the ability to provide useful guidance and make articulate recommendations
to department managers regarding potential solutions to issues
▪ Strong technology skills, proficient in MS Outlook and Office, including Excel and PowerPoint
▪ Quick learner; ability to learn new systems
▪ Project Management and System Implementation experience is a plus
What We Of fer
Firm offers a generous benefits package including but not limited to: premier medical benefits, paid time
off, a retirement profit sharing plan, wellness reimbursement, fully paid parental leave, family planning
support, paid membership to concierge primary care, supplemental mental wellness benefit provides annual
allotment of fully paid therapy sessions and unlimited coaching, additional health and wellness benefits, and
life insurance. Our hybrid work model provides employees with the flexibility to work remotely 2 days a week.
The base salary range for this role is $145,000 - $165,000. Individual salaries for this role may vary based on
various factors including but not limited to, years of experience, range in corporate level, candidate skills, and
geographic location. Eligibility to participate in a discretionary annual incentive program is subject to rules
governing the program, whereby an award, if any, depends on various factors including but not limited to,
individual and organizational performance.
- The most recent Chief Compliance Offer just retired so another executive is taking over the CCO role and this new hire will basically take over the executive's former role
- This person will be a supervisor and have a direct report later this year (the company hasn’t hired this person yet but they will be a Senior Associate)
- Wants someone who will be a manager but still do all of the work and not expect their direct report to do it
- Small team-right now it is just one person
- They are looking for someone who is a “generalist” cross functional person who has experience overseeing the whole compliance program
- Need to fully understand the guidelines
THNGS TO NOTE:
- We are currently operating in a hybrid model and the role will be in the office, onsite Tuesday – Thursday
- Looking for someone who minimum of 7-10 years of experience
- Is inquisitive, wants to roll up their sleeves and learn
- Someone that is flexible and can pivot easily
- Overall a hard worker and not afraid of a challenge
