Senior Compliance Specialist

Job Description

The Senior Compliance Specialist is responsible for supporting the development and implementation of the firm's compliance program to ensure adherence to SEC regulations. This role will support the day-to-day oversight of the firm’s risk-based compliance program, including the firm’s compliance testing program, preparation of risk assessments, audit support, compliance reporting for management, and facilitating employee training on regulatory requirements and best practices. Key responsibilities include continuous improvement as it relates to the firm’s policies and procedures, monitoring regulatory changes, ensuring the accuracy of filings like Form ADV, and fostering a strong compliance culture throughout the firm. The Senior Compliance Specialist will collaborate with the CCO to integrate all compliance related activities.

Duties and Responsibilities

• Policy & Procedure Development : Assist in the development, implementation, and maintenance of the firm's compliance policies and procedures to ensure adherence to all applicable federal regulations.
• Regulatory Monitoring & Adaptation : Continuously monitor changes in regulatory requirements (such as SEC rules) and recommend changes to the firm's compliance program to ensure ongoing compliance.
• Risk Management & Testing : Conduct risk assessments and develop and oversee the firm's annual compliance testing and monitoring plans.
• Regulatory & Audit : Support the CCO with regulatory agency communication, such as the SEC, and independent auditors, such as custody and focused compliance reviews, and coordinate responses to examinations and inquiries.
• Reporting : Prepare regular reports on the firm's compliance status and activities for senior management.
• Training & Culture : Assist in the development and delivery of compliance training programs to all employees to foster a strong culture of integrity, honesty, and compliance throughout the organization.
• Filings & Record-Keeping : Ensure the timely and accurate preparation and filing of all required regulatory documents, including Form ADV, and maintain systematic records of the compliance program.
• Act as the primary point of contact for external compliance consultant partner.

Qualifications