- Assist the CCO in the development and optimization of a comprehensive compliance program, ensuring alignment with pertinent regulatory authorities, benchmarks, and mandates.
- Maintain the firm's Code of Ethics up to internal and external / regulatory standards.
- Follow regulatory changes and conduct strategic regulatory impact analysis to guide compliance strategies designed to ensure the RIA remains compliant under existing and new rules.
- Serve as liaison for regulatory authorities, facilitating seamless compliance audits and reviews.
- Serve as the firm's internal reference for any compliance-related questions or issues, as well as a contact person for external compliance questions.
- Lead compliance initiatives for new investment offerings, prioritizing investor protection and regulatory compliance.
- Perform daily reviews of new businesses and surveillance activities.
- Stay current on investment professionals who are subject to heightened supervision by working closely with Supervision.
- Standardize and manage new business and transaction review processes.
- Establish contact with investment professionals on various fronts such as general education, industry changes, or client experience.
- Manage and/or oversee projects as it relates to monitoring, surveillance, and supervision.
- Identify areas of risk for the firm, and suggest/enforce risk prevention measures necessary, including investment professional education, employee training, etc.
- Identify and manage the improvement or creation of firm protocols as they relate to managing processes to communicate violations, as well as remedies, to all parties.
- Review applicable sections of the Firm's written supervisory procedures manual.
- Subject matter expert on applicable technology, software, forms, and tools used to manage monitoring / surveillance-related responsibilities.
- Participate in recruiting and onboarding calls of investment professionals.
- Assist in external reviews conducted for the advisory firm and act as a liaison and subject matter expert.
- Assist in the production of information / documentation pertaining to regulatory requests (routine, for cause, etc.)
- Work in coordination with outside consultants and legal counsel as needed.
- Oversee the implementation
- Assists in the review and approval of annual compliance forms and certifications.
- Assists in the execution of internal reviews / audits as needed.
- Works with supervision team to set guidelines for communications with customers and the public.
- Bachelor's degree or higher in business administration with a concentration in Finance or related field.
- Eight (8) years or more securities industry experience in a supervisory or compliance capacity.
- NASAA Series 65 or 66 and FINRA Series 7 & 24.
- Ability to work in a team environment, self-motivated and research capabilities.
- Proactive, Detail oriented and organized.
- Proficiency in MS Office (Word, Excel and Power Point).
- Strong written and verbal communication skills.
- Bilingual in English and Spanish. Portuguese is a plus.
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Deputy Chief Compliance Officer – Advisory Services - Miami, United States - Insigneo
Description
The Deputy Chief Compliance Officer for Insigneo Advisory Services supports the Chief Compliance & Risk Officer in the development and implementation of the Firm's compliance program and plan of the investment adviser designed to promote compliance with applicable securities regulatory authorities including, but not limited to, SEC laws and regulations.
Job Responsibilities/Main Functions
External Audits
Internal Reviews/Audits
Job Requirements (Education, Experience, Knowledge, Capabilities, and Skills)
