Investment Advisory Compliance - Confidential : Job Details

Job Tit le

Investment Adviser Compliance

Our Funct ion

As part of the Investment Advisory Compliance Group, this position will support firm's compliance

program regarding its regulatory, contractual, and compliance requirements associated with its activities as a

registered investment adviser. This role will be responsible for oversight of various compliance functions,

including providing support and training to staff responsible for administration of employee conduct polices,

regulatory filings and firm compliance training program. An important part of the role will be to develop

and enhance the compliance program's effectiveness in accordance with regulatory expectations and evolving

best practices. Additional responsibilities include administration of firm compliance risk monitoring

program, maintenance of policies and procedures, facilitation of internal and external audits as well as the

implementation of compliance forensic testing program, tracking regulatory updates and implementing

changes to comply with new and amended regulation, and providing general compliance oversight and

guidance to the business. This is an opportunity for a confident, experienced, and knowledgeable individual to

take a high visibility role in Compliance department.

Your Impact

The scope and responsibilities of this role will not be static. As the business needs and compliance objectives

change, the responsibilities of this position are expected to evolve to meet the changing regulatory landscape

and departmental deliverables. Responsibilities, include, among other things:

▪ Supervise and support staff responsible for administration of firm's employee conduct policies,

including monitoring for personal trading, gifts and entertainment and political contributions activity, in

a player-coach role;

▪ Continuously review and enhance the firm's compliance policies and procedures in accordance with

evolving regulatory expectation and business practices;

▪ Track and analyze regulatory updates, including proposed and new regulations, risk alerts and

regulatory guidance for impact on firm's business;

▪ Administer the Compliance Risk Monitoring Program, including testing and oversight of policies and

recommend enhancements to business processes and internal controls;

▪ Draft and implement procedures for compliance monitoring activities and forensic testing;

▪ Maintain relationships with compliance related vendors, identify issues, keep abreast of system

enhancements, and make recommendations to workflows to best utilize the system(s)

▪ Prepare materials for internal governance bodies and continually look for opportunities to enhance

reporting through data analytics;

▪ Serve as compliance point person for the areas covered as well as various Prudential/PGIM

compliance programs and initiatives;

▪ Oversee execution of the annual third-party compliance review and other internal and external audits;

including document production and action plan tracking;

▪ Oversee and provide support for regulatory filings, including Section 13 filings, Form ADV and Form PF;

▪ Develop and deploy compliance training;

Support the process of onboarding new clients, provide guidance as to compliance implications

associated with investment management agreements and sub documents for private funds;

▪ Collaborate with firm and compliance colleagues to drive coordinated outcomes;

▪ Integrate industry benchmarking and best practices through ongoing research, education and industry

affiliations.

Your Required Skills

Your required skills must include:

▪ Prior compliance experience at a registered investment adviser preferably with testing, risk

assessments and policies and procedures maintenance

▪ Strong knowledge of the Investment Advisor's Act of 1940 and other relevant securities laws

▪ Minimum of 7-10 years compliance experience working with an investment management firm

▪ FINRA Licenses (Series 7 & 24) a plus but not required

▪ Excellent written and oral communication skills with ability to interface with and influence senior

management as well as other peers and colleagues

▪ Established ability to multi-task, prioritize and organize time effectively in a fast-pace environment with

changing deadlines

▪ Ability to exercise sound judgment and discretion in identifying, escalating and resolving issues

Demonstrates strong analytical skills and attention to detail consistently

▪ Experience managing and developing staff

▪ Solid research skills and the ability to provide useful guidance and make articulate recommendations

to department managers regarding potential solutions to issues

▪ Strong technology skills, proficient in MS Outlook and Office, including Excel and PowerPoint

▪ Quick learner; ability to learn new systems

▪ Project Management and System Implementation experience is a plus

What We Of fer

Firm offers a generous benefits package including but not limited to: premier medical benefits, paid time

off, a retirement profit sharing plan, wellness reimbursement, fully paid parental leave, family planning

support, paid membership to concierge primary care, supplemental mental wellness benefit provides annual

allotment of fully paid therapy sessions and unlimited coaching, additional health and wellness benefits, and

life insurance. Our hybrid work model provides employees with the flexibility to work remotely 2 days a week.

The base salary range for this role is $145,000 - $165,000. Individual salaries for this role may vary based on

various factors including but not limited to, years of experience, range in corporate level, candidate skills, and

geographic location. Eligibility to participate in a discretionary annual incentive program is subject to rules

governing the program, whereby an award, if any, depends on various factors including but not limited to,

individual and organizational performance.

• The most recent Chief Compliance Offer just retired so another executive is taking over the CCO role and this new hire will basically take over the executive's former role
• This person will be a supervisor and have a direct report later this year (the company hasn't hired this person yet but they will be a Senior Associate)
• Wants someone who will be a manager but still do all of the work and not expect their direct report to do it
• Small team-right now it is just one person
• They are looking for someone who is a “generalist” cross functional person who has experience overseeing the whole compliance program
• Need to fully understand the guidelines

THNGS TO NOTE:

• We are currently operating in a hybrid model and the role will be in the office, onsite Tuesday – Thursday
• Looking for someone who minimum of 7-10 years of experience
• Is inquisitive, wants to roll up their sleeves and learn
• Someone that is flexible and can pivot easily
• Overall a hard worker and not afraid of a challenge