Role Overview The role of the Compliance Department for the registered investment adviser is both oversight of the Investment Advisers Act in accordance with the Securities and Exchange Commission (SEC) requirements as well as maintaining compliance with all applicable state requirements. We strive to ensure that regulatory requirements are met, and we serve the best interests of our clients.
This is an onsite position at our Scottsdale Corporate office and requires in-office attendance five-days a week.
Duties and Responsibilities- Conduct review of advertising to ensure compliance with the Advisers Act Marketing Rule and any state advertising requirements
- Assist in boarding and registering new Advisors, including Code of Ethics reporting as well as life-insurance licensing.
- Manage tasks involving data collection and analysis related to performance composites and other firm regulatory disclosures.
- Assist in conducting 206(4)-7 testing and familiarity with 13F process and filings and process
- Ability to prioritize periodic demands such as regulatory examination requests, ADV/EDGAR disclosure requirements, and client-related situations while maintaining progress on routine tasks.
- Handle sensitive and confidential information with the utmost diligence.
- Occasional travel may be required to conduct office reviews and/or attend industry seminars.
Minimum Qualifications- Minimum of five years' experience working in the compliance area of an investment adviser or dual registrant.
- A minimum of five years' experience reviewing marketing materials for investment advisers and/or broker dealer.
- Experience with code of ethics testing and 206(4)-7 reporting.
- Experience with onboarding advisors and use of Web CRD, including coordination with individual states for fingerprinting requirements. Insurance licensing experience a plus.
- Experience conducting compliance testing and reporting.
- Demonstrated ability to work independently, conduct independent research, and exercise sound judgement prior to escalation.
Benefits- Base salary of $90,000 to $105,000 base salary DOE plus bonus.
- Future career growth opportunity.
- 401(k) with a matching contribution up to 13%.
- Medical coverage for employees, paid by the company.
- Dental, Vision, Short Term Disability, Long Term Disability, Life Insurance, and many more voluntary insurance options.
- Generous holidays and PTO.
Come and join a team that is making a difference in their clients and employee's lives! 
