TITLE: Director, Compliance and Legal Affairs (1080-1)
LOCATION: Indianapolis, IN area
COMPENSATION: Commensurate with experience
SUMMARY:
Our client is an independent, fee-only firm with multiple offices across the Midwest. They are also one of the largest RIA firms in the country with over $20 billion in assets under management. The Director, Compliance and Legal Affairs is responsible for advising and consulting on internal policies and procedures in order to conform to applicable securities laws, regulations and risk management. The role would include: developing and directing programs which would promote compliance with current and new financial industry regulation; assists all areas in identifying risks to ensure compliance and low risk exposure; enforces the firm's compliance program and acts as the Designated Chief Compliance Officer; oversees legal affairs for the firm and serves as the primary legal advisor to the CEO, Senior Management Team, and the Board of Directors.
RESPONSIBILITIES:
Ensure ongoing compliance, internal control practices, risk reduction, high ethical standards and corporate governance
Develops, implements and manages a strategic plan for the provision of legal services in accordance with and in support of business objectives; budgeting for, selecting and managing outside counsel
Tracks and files all notice and amendment filing requirements with each regulatory agency and state in addition to filing the appropriate fees
Manages personnel responsible for Compliance and Risk
Conducts firm wide risk assessments
Consults with individuals regarding compliance
REQUIREMENTS:
JD and a minimum of 10 years’ experience in a Registered Investment Advisory Firm and experience with FINRA-Regulated firm preferred
Knowledge of the Investment Advisers Act of 1940, The Securities Act of 1933, and other key investment advisor regulations
Knowledge of the IARD/CRD system, SEC, DFI, DOL and state regulations, FINRA rules and regulations, Blue Sky Laws
Must be computer literate to research historical and current policies, legislation, etc. through internet and compliance-related manuals
Must have strong work ethic with a positive attitude
Ability to work in a high stress, fast paced environment
Excellent attention to detail and organizational skills
Excellent verbal and written communication skills with strong interpersonal skills
If you are interested in this opening, please email us a copy of your resume as an MS Word attachment.
Thank you,
Jordan Striggow
BCI - Financial Services Recruiting
10 S. Wacker Dr., Suite 1250
Chicago, IL 60606
312-460-8111 x112
jordan@brokerageconsultants.
www.brokerageconsultants.com
LOCATION: Indianapolis, IN area
COMPENSATION: Commensurate with experience
SUMMARY:
Our client is an independent, fee-only firm with multiple offices across the Midwest. They are also one of the largest RIA firms in the country with over $20 billion in assets under management. The Director, Compliance and Legal Affairs is responsible for advising and consulting on internal policies and procedures in order to conform to applicable securities laws, regulations and risk management. The role would include: developing and directing programs which would promote compliance with current and new financial industry regulation; assists all areas in identifying risks to ensure compliance and low risk exposure; enforces the firm's compliance program and acts as the Designated Chief Compliance Officer; oversees legal affairs for the firm and serves as the primary legal advisor to the CEO, Senior Management Team, and the Board of Directors.
RESPONSIBILITIES:
Ensure ongoing compliance, internal control practices, risk reduction, high ethical standards and corporate governance
Develops, implements and manages a strategic plan for the provision of legal services in accordance with and in support of business objectives; budgeting for, selecting and managing outside counsel
Tracks and files all notice and amendment filing requirements with each regulatory agency and state in addition to filing the appropriate fees
Manages personnel responsible for Compliance and Risk
Conducts firm wide risk assessments
Consults with individuals regarding compliance
REQUIREMENTS:
JD and a minimum of 10 years’ experience in a Registered Investment Advisory Firm and experience with FINRA-Regulated firm preferred
Knowledge of the Investment Advisers Act of 1940, The Securities Act of 1933, and other key investment advisor regulations
Knowledge of the IARD/CRD system, SEC, DFI, DOL and state regulations, FINRA rules and regulations, Blue Sky Laws
Must be computer literate to research historical and current policies, legislation, etc. through internet and compliance-related manuals
Must have strong work ethic with a positive attitude
Ability to work in a high stress, fast paced environment
Excellent attention to detail and organizational skills
Excellent verbal and written communication skills with strong interpersonal skills
If you are interested in this opening, please email us a copy of your resume as an MS Word attachment.
Thank you,
Jordan Striggow
BCI - Financial Services Recruiting
10 S. Wacker Dr., Suite 1250
Chicago, IL 60606
312-460-8111 x112
jordan@brokerageconsultants.
www.brokerageconsultants.com
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