As a key member of the Compliance department, help strengthen the effectiveness of the firm's investment advisory compliance program by supporting regulatory oversight, compliance risk management, and compliance initiatives designed to mitigate legal, regulatory, operational, and reputational risk. Apply advanced knowledge of the Investment Advisers Act of 1940, fiduciary obligations, and SEC regulatory requirements to independently perform complex compliance activities, identify emerging risks, recommend practical solutions, and support the ongoing enhancement of the firm's compliance program.

Responsibilities 

  • Serve as a lead resource for assigned advisory compliance programs, regulatory initiatives, monitoring activities, and compliance projects, including regulatory oversight, risk assessment, and policy implementation for advisory programs, products, and services.  
  • Interpret and assess the impact of new and existing SEC regulations, regulatory guidance, enforcement actions, and industry developments affecting the firm’s advisory business.  
  • Support the maintenance and ongoing enhancement of the firm’s compliance program, including policies and procedures, Code of Ethics, compliance testing, monitoring activities, risk assessments, and regulatory documentation.  
  • Coordinate the preparation, review, and maintenance of regulatory disclosures including Form ADV Parts 1, 2A, 2B brochure supplements, 13F, and 13H.  
  • Identify regulatory risks, conflicts of interest, control gaps, trends, and process improvement opportunities; prepare reports and recommend practical solutions to strengthen compliance oversight; assist in the implementation of solutions as necessary.  
  • Provide compliance guidance and support to business partners, financial professionals, and firm personnel regarding advisory compliance requirements, fiduciary responsibilities, SEC regulations, and firm policies.  
  • Collaborate with Legal, Operations, Product, Supervision, Compliance, and business partners to support compliant implementation of new products, services, operational changes, and strategic initiatives.  
  • Support regulatory examinations, audits, inquiries, investigations, and information requests by coordinating documentation collection, performing analyses, assisting with responses, and supporting remediation activities.  
  • Participate in initial and ongoing due diligence reviews of advisory products, programs, third-party service providers, and investment platforms to help ensure appropriate disclosures, agreements, and oversight.  
  • Assist with the development and delivery of compliance training, regulatory communications, educational resources, and knowledge sharing for financial professionals, as well as analysts and other team members.  
  • Complete additional tasks, special projects, and compliance-related initiatives as assigned. 

  

Qualifications 

  • Bachelor’s degree in business, finance, or other relevant field, or equivalent education and experience.  
  • Five years of regulatory compliance, insurance, securities, financial services, internal audit, risk management, testing, monitoring, or other relevant experience 
  • Experience in advisory compliance supporting compliance programs, compliance testing, regulatory examinations and compliance risk assessments.  
  • Strong working knowledge of the Investment Advisers Act of 1940, SEC rules and regulations applicable to registered investment advisers, and fiduciary obligations. 
  • Knowledge of advisory products, investment management services, advisory fee arrangements, and related regulatory requirements.  
  • FINRA Series 7, 24, and 65/66 licenses, or ability to obtain required licenses within a specified timeframe. 
  • Excellent written and verbal communication skills, including the ability to communicate regulatory requirements and compliance expectations to diverse audiences.  
  • Ability to research, analyze, and interpret complex regulatory requirements and assess business impacts.  
  • Proficiency with Microsoft Office applications, advanced Excel and PowerPoint skills. 

  

Preferred Qualifications 

  • Experience supporting Form ADV preparation and maintenance. 
  • Experience supporting SEC filings including Form 13F and 13H. 
  • Experience participating in SEC examinations and remediation activities. 
  • Strong analytical, critical thinking, problem-solving, and organizational skills.  
  • Ability to independently manage multiple priorities, deadlines, projects, and regulatory initiatives.

Working Conditions
• Hybrid office environment (Tuesday, Wednesday, Thursday)
• Locations: Denver, Cedar Rapids, Philadelphia, Baltimore 

Compensation
The Salary for this position generally ranges between $90,000.00 - $100,000.00 annually. Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors including qualifications, experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.

Applicants must possess legal authorization to work for our company in the U.S. without the need for immigration, sponsorship or otherwise serving as an employer of record for immigration employment purposes. At this time, this role is not eligible for immigration-related employment authorization sponsorship.