Investment Advisory Compliance ManagerVirtualVocations • Sacramento, California, United States
Investment Advisory Compliance Manager
VirtualVocations • Sacramento, California, United States
[job_card.variable_days_ago]
[job_preview.job_type]
- [job_card.full_time]
[job_card.job_description]
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
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