ISC’s Financial Services Recruitment team is partnering with a leading and highly ranked Investment Firm with a growing US presence. The organization is looking for a Compliance Specialist/Compliance Manager to join their Seattle, WA Office. This role will oversee the firm’s compliance program while interacting with advisors to ensure all activities meet state and federal requirements.
· Bachelor’s degree required or 5+ years of financial services compliance experience.
· 3+ years of experience with an SEC-registered investment adviser/broker dealer or SEC compliance consulting firm.
· Possess working knowledge of SEC rules and regulations applicable to investment advisory firms.
· Superior written and verbal communication skills, including experience in drafting short memos and/or compliance policies.
· Rewarding culture within a highly collaborative team.
· Tremendous long-term growth opportunity.
· High visibility to C-Level with opportunities to continue expanding role.
· Competitive total compensation program inclusive of base salary, bonus, and excellent benefits.
· Oversee company compliance procedures, practices, and documents to identify possible weaknesses or risks.
· Maintain the firm’s compliance calendar.
· Create and implement compliance procedures, document compliance findings, and maintain compliance logs.
· Preparation of regulatory filings (e.g., ADV) in conjunction with the Legal/Compliance team.
· Understand regulatory requirements, stay informed of new developments, and help design and implement responsive compliance efforts.
· Conduct compliance review of all the securities and advisory transactions conducted by financial advisors.
· Communicate and educate employees to ensure compliance awareness both with internal and external laws and regulations.
· Manage new employee compliance training.
· Assist with responding to regulatory inquiries and on-site examinations.
· Conduct audits to identity potential weakness and noncompliance situations.
· Review marketing materials for regulatory compliance.
The level of the role will be determined by the experience level of the candidate selected – Compliance Specialist – Compliance Manager – Chief Compliance Officer.
Referrals – Do you know someone who may be a fit?
We gladly pay $500 for referrals that result in hire and keep all referrals confidential unless you provide permission to use your name.