Job Title: Compliance Officer
Location: Fairfield, NJ (hybrid)
Salary: $120-145k/yr
Our client is a trusted Registered Investment Advisor located in Fairfield, New Jersey providing customized financial planning and investment management services to individuals, families, and institutions. Their commitment is to maintaining the highest standards of integrity and compliance within the industry.
We are currently seeking a highly motivated and detail-oriented Compliance Officer to join the team. As a Compliance Officer, you will be responsible for ensuring the firm adheres to all regulatory requirements and internal policies, fostering a culture of compliance and ethical conduct.
Key Responsibilities:
- Monitor and ensure the firm's compliance with SEC and state regulations, including but not limited to the Investment Advisers Act of 1940.
- Develop, implement, and maintain compliance policies and procedures.
- Conduct regular compliance audits, reviews, and risk assessments to identify potential areas of improvement.
- Prepare and submit regulatory filings and required reports (e.g., ADV, Form PF, etc.).
- Provide guidance to staff on compliance matters and regulatory changes.
- Assist with regulatory examinations and audits by providing required documentation and responses.
- Stay up-to-date on industry regulations and best practices.
- Help maintain and manage the firm's Code of Ethics and Personal Trading Policies.
- Support the Chief Compliance Officer and senior management on strategic compliance initiatives.
Qualifications:
- Bachelor's degree in Finance, Accounting, Business, or a related field.
- 4+ years of experience in a compliance role within a Registered Investment Advisor or financial services firm.
- Strong knowledge of SEC regulations, FINRA rules, and other applicable regulatory frameworks.
- Experience with regulatory filings (e.g., Form ADV, Form PF).
- High attention to detail with excellent analytical and problem-solving skills.
- Strong communication and interpersonal skills.
- Ability to work independently and as part of a team.