22 days old

IA Deputy Chief Compliance Officer

Advisor Group
Jersey City, NJ 07302
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Registered Investment Adviser (RIA) Compliance Opportunity in Financial Services

Investment Advisory Deputy Chief Compliance Officer

Location: 10 Exchange Place, Jersey City, NJ 07302

INTERNAL APPLICANTS: All qualified internal applicants, irrespective of location, will be considered for all internally posted roles at this time. Compensation range displayed in internal postings is the national average, and compensation decisions will be employee-location based.


We are looking for an Investment Advisory Deputy Chief Compliance Officer to join our team and be part of something great. We have an outstanding career opportunity for a driven, successful leader with at least 10 years of increasing management responsibility in the securities industry, both broker-dealer and investment advisory. The ideal candidate will spend their days managing the RIA Compliance Program


  • Ensure appropriate regulatory policies, procedures and controls are established, maintained, and well documented
  • Manage and develop a team of RIA Compliance Analysts professionals
  • Prepare for and respond to regulatory inquiries, examinations, internal audits and other reviews
  • Partner with the Legal team to proactively analyze and manage changes to regulatory requirements
  • Develop and deliver education on compliance policies and procedures to ensure proper understanding of regulatory risks and responsibilities
  • Provide guidance and support to our financial advisors and business partners
  • Represent RIA Compliance Department in cross functional firm initiatives
  • All other duties as assigned

Education Requirements:

  • Bachelor's degree from a four-year college or university is required.

Basic Requirements:

  • Expertise in Investment Adviser's Act of 1940 and general knowledgeable in other financial regulations;
  • At least ten years of relevant work experience with strong knowledge of the Investment Advisers Act of 1940;
  • Demonstrated experience with Rule 206(4)7 testing, conducting risk assessments, updating Form ADV, as well as drafting policies and procedures;
  • Ability to manage and effectively influence while providing advice and guidance;
  • Advanced Skill to independently identify and analyze compliance issues;
  • Strong Ability to build consensus among managers and employees across departments;
  • Advanced knowledge of RIA and industry regulation;
  • Proven management and human relations skills;
  • Proficiency with Windows programs: EXCEL, OUTLOOK, WORD;
  • Excellent oral and written communication skills;
  • Strong critical thinking skills and be an ardent problem solver;
  • Series 65 or 66.

Preferred Requirements:

  • Advanced Degree or Certifications
  • Series 7 and 24

Jobs Rated Reports for Compliance Officer

Posted: 2020-10-05 Expires: 2020-11-03
Sponsored by:
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Sponsored by:
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IA Deputy Chief Compliance Officer

Advisor Group
Jersey City, NJ 07302

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Compliance Officer
25th2018 - Compliance Officer
Overall Rating: 25/220
Median Salary: $67,870

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