A financial services firm is seeking an experienced professional to join their team as an Investment Advisory Associate Director.
Responsibilities:
- Work closely on compliance matters with client personnel
- Advise clients regarding compliant business practices Establish and/or maintain a compliance program
- Write, edit, and maintain Compliance Manuals and Code of Ethics Procedures
- Drafting Form ADV amendments
- Assist in all regulatory examinations and inquiries
- Participating in SEC mock exams
- Create RIA and client relationships via networking with our clients and contacts
- Perform other duties as needed
Qualifications:
- Bachelor's degree in related field
- 3-5 years of direct RIA experience
- Demonstrated understanding of the Investment Advisors Act of 1940
- Solid analytical and research skills
- Excellent communication skills, writing, skills, interpersonal skills, and a strong presence
- Strong attention to detail
- Highly organized
- Adaptable personality (to work closely with a highly diverse client base)
Desired Skills:
- Broker-dealer compliance experience
- Experience in various types of RIA business lines
Reference # 501468
