Under general supervision, the Compliance Team Lead assists in daily activities to ensure requirements of department are fulfilled, as required by Firm policies or regulatory rules. In addition to the senior level department duties, the Team Lead trains, leads and mentors the department staff and their work for completion of assigned duties.
DEPARTMENT SPECIFIC DUTIES: Advisory Compliance
- Assists with daily activities to ensure requirements of department are fulfilled, as required by Firm policies or regulatory rules.
- Observes the functions of analysts for completion of assigned duties. Trains new staff on the team. Provides feedback as needed and escalation to department Director, as required
- Assist in monitoring rule changes or regulatory developments relating to investment advisers;
- Provides input to guidelines for procedures and policies that comply with new and revised regulations, and directs their implementation. Generally assist in the development of Firm policies and procedures to address enhancements or other needs. Implements, explains, and enforces compliance and/or regulatory procedures and policies.
- Assist with regulatory filing relating to the Firm’s investment advisory business.
- Acts as a liaison between Compliance and business areas on matters relating to the Firm’s investment advisory business.
- Performs or assists with special projects as needed and other duties as assigned.
LEVEL SPECIFICS: Team Lead
- Leads, oversees and trains the Dept. Analyst group and new staff. Develops and implements new policies, procedures and department processes.
- Bachelor's degree and 5+ years advisory compliance and leadership experience; JD plus investment advisory compliance experience a plus.
- Minimum 5+ years' experience in Compliance Risk or audit.
- Series 65 required.
- Proficient in Microsoft Outlook and Microsoft Suite including but not limited to Word, Excel and PowerPoint.
- The ability to communicate information and ideas in spoken or written form so that others will understand.
- Takes active role in building firm’s business, both internally and externally; is a good role model and mentor internally and seeks out opportunities to build and enhance firm’s brand and reputation externally.
- Demonstrates professionalism, integrity, maturity, intellectual curiosity, initiative and good judgment; takes pride of ownership for wins and accountability for losses/mistakes.
- Some travel by car and/or air in conjunction with local, regional and/or national travel, up to 30%.