Senior Compliance - Rochester, United States - GreaterROC

Description

The expected rate of pay for this position is shown above.

Compensation offers are based on a wide range of factors including relevant skills, training, experience, education and, where applicable, licenses or certifications obtained.

Market and organizational factors are also considered.

In addition to your base rate of pay and a competitive benefits package, successful candidates may be eligible to receive cash or equity-based incentives based on the role and performance.

Position Title
:

Senior Compliance & Marketing Analyst

Reports To
:

Sr. Managing Director – Retirement Services

Department
:

Courier Capital

FLSA Status
:

Exempt
Purpose

:

The Senior Compliance & Marketing Analyst assists the Chief Compliance Officer (CCO) of Courier Capital with preparation and filing of various documents as required by regulatory bodies.

Supervisory Responsibilities

:

Degree of Supervision Received
:

Moderate
Supervision Received (title)
:

Sr. Managing Director – Retirement Services
Degree of Supervision Given
:

None
Supervision Given to (Titles)
:

N/A
Essential Functions

:

Ensure firm compliance with regulations pertaining to Registered Investment Advisors including annual compliance review, compliance manual updates, compliance calendar and log, electronic communications, code of ethics and testing.

Provides employee training in various aspects of the compliance program, including, but not limited to
:

Code of Ethics; AML; DRP; political contributions; advertising and marketing; privacy, confidentiality and protecting client assets; email reviews and etiquette; private placement rules and regulations; and FCPA.

Manages the testing of periodic and annual updates to policies and procedures against stated disclosures of the Firm's businesses and risks.

Review personal trading activity and pre-clearances; outside activities, political contributions, gifts and entertainment, etc. Assist with quarterly and annual certifications.
Performs monthly, quarterly, and rotating compliance policies and procedures testing.
Provides issue resolution, including documentation and reporting to relevant committees.

Manages marketing "pitch books," marketing activities and disclosures; including accuracy of disclosures made to clients and regulators; review and maintain supporting documentation for due diligence questionnaires.

Assess Adviser activities for potential or existing conflicts of interest risks.
Assess safeguards for privacy protection of client records and information.
Reviews electronic communications, including e-mail and social media use.
Maintain, store and secure books and records, including destruction schedule.

Additional responsibilities include maintaining up to date marketing materials and working closely with FSB Marketing on development and execution of the firm's Marketing Plan.

Assist in the development of business plans for business segments such as Retirement services, Institutional Advisory and Wealth Management.
Assist with the preparation and distribution of quarterly 401(k) reporting to clients, highlighting key metrics and trends
Support the guidance of plan participants regarding investment options, retirement planning strategies, and other relevant topics to help them make informed decisions about their retirement savings
Act as liaison between outside 401(k) service providers to address any client service needs that arise
Collaborate with 401(k) team on business development and sales opportunities

Demonstrate the standards and principles of the Five Star Bank experience in every interaction with internal and external customers, associates, and stakeholders.

Incorporate the high-performance behaviors of teamwork, leading by example, and service in every facet of work.
Job Related Qualifications – Education and Prior Experience

:

Required:

Education
:

Bachelor's Degree
Prior Experience
:

5+ years of compliance experience in financial services
Licenses or Accreditation
:

None
Preferred:

Education
:

Bachelor's Degree
Prior Experience
:

5+ years of compliance and marketing experience in financial services
Licenses or Accreditation
:

None
Competencies

:

Proven experience in compliance or marketing in investment and financial assets management as an analyst or assistant manager in a financial institution environment
Strong understanding of compliance and risk management
Excellent verbal and written communication skills
Strong analytical and problem-solving skills
High interest in and enthusiastic about economic and financial market trends
Exceptional customer service with a client focus
Flexible to travel to meet clients as required
Proficient in Microsoft Office with the ability to learn and utilize new and existing company software.
Ability to participate in discussions with foundation/non-profits and investment committees.
Strong organization and presentation abilities.
Ability to network with business leaders, internal partners, and external centers of influence.
Able to work both independently and in a team environment
Physical Requirements

:

Able to regularly sit for prolonged periods of time.
Able to regularly stand for prolonged periods of time.
Able to travel occasionally throughout Courier Capital footprint.
Extensive computer and phone usage is required.
This job description is not exhaustive. The Senior Compliance & Marketing Analyst may be required to perform other duties as assigned.

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