Investment Advisory Compliance Manager

A company is looking for an Investment Advisory Compliance Program Office Manager.

Key Responsibilities

Maintain and refresh compliance policies and procedures under relevant regulations

Review and test controls to assess effectiveness and partner with business teams to address gaps

Prepare reports and filings for leaders, committees, and regulators

Required Qualifications

Bachelor's degree or equivalent experience

5+ years in investment advisory or asset management compliance

Working knowledge of SEC, FINRA, and MSRB regulations

Experience supporting compliance programs in a regulated financial institution

FINRA fingerprinting required