Sr. Compliance Officer

Due to firms unprecedented growth, a well-established Atlanta based

SEC

Registered Investment Advisor

y firm is looking to hire a

Sr. Compliance Officer

to join a family oriented Financial Advisory Services firm and work with a dedicated team who build unrivaled partnerships with our investment professionals. They are a multi-custodial firm and clear through all of the major custodial platforms. Their unique culture puts investment professionals and their clients at the heart of everything they do.

Position Summary

Your position,as a Compliance Specialist, is to support the Chief Compliance Officer in all aspects of the firm’s risk and compliance program and provide operational and administrative support. Your knowledge of firm policies,procedures and regulatory requirements allows you to perform,analyze and/or facilitate specific components of the compliance monitoring program. You will work independently and in conjunction with other membersof the firm’s compliance and operations team to help mitigaterisk to the firm and resolve problems. You are detail oriented with proven organizational skills, able to manage time efficiently and can multi-task. You have provenwritten and verbal communication skills. We can offer you an exciting, fast-paced working environment, and the opportunity to play a vital role in our growth. We are an equal opportunity employer offering a competitive salary and benefit package.

Key Tasks

• Proactively review Financial Advisor email communications and escalate any concerns to the Chief Compliance Officer
• Facilitate and review monthly Financial Advisor attestations and reports
• Assist Chief Compliance Officer with the firm’s branch inspection program, including scheduling, preparation, inspection and follow up.
• Proactively review marketing and social media content
• Review daily reports and alerts and process accordingly
• Assist with on-boarding new Financial Advisors to the team and other projects as needed
• Work independently to make decisions regarding analyzing problems and resolution of issues
• Pay close attention to detail, process work accurately

Skills and Experience Required

• 5 – 10 years of investment advisory compliance experience
• Excellent skills in Microsoft Office Suite and other technologies
• Organized, detail and service oriented and extremely thorough
• Good written and verbal communication skills; the ability to interactwith all levels of staff
• Learning agile, able to adapt quickly and appropriately with the evolutionof regulatory requirements
• Experience in CRD/IARD system a plus