Manager, Compliance – LIC

This is a fully remote position, open to applicants in United States.

📋 Description

• Conduct continuous evaluations and testing of RIA policies, procedures, products, and operations in line with SEC Rule 206(4)-7.

• Engage in and contribute to RIA compliance and risk management efforts, committees, and working groups.

• Assess intricate compliance risks within RIA business units and functions, offering expert guidance.

• Execute compliance risk management strategies and techniques, including quality assessments, key risk and performance measurement data, oversight monitoring, and mitigation strategies.

• Collaborate with line of business leaders and senior colleagues on strategic initiatives, providing counsel and oversight.

• Complete tasks and projects assigned by the Chief Compliance Officer.

• Lead and supervise efforts to meet legal, regulatory, compliance, and supervision goals.

• Develop and sustain a high-performing team through selection, development, coaching, rewarding, and recognizing team members.

• Perform comprehensive analysis and research on complex compliance issues and implement necessary solutions.

• Assist in the annual compliance review in accordance with SEC Rule 206(4)-7.

• Coordinate and manage incident responses with relevant organizational areas.

• Work collaboratively with enterprise-wide business and compliance teams to fulfill compliance program requirements and enterprise-wide initiatives.

• Proactively evaluate and review business practices, providing consultation and training to TAN business units to identify, minimize, and manage risks.

• Engage effectively with advisor practices at the operational level.

• Undertake additional duties as assigned or as business needs arise.

⛳️ Requirements

• Series 65 or 66, or an equivalent professional designation, or the ability to obtain within 90 days.

• Bachelor’s Degree in business or a related field.

• Over five years of significant industry experience in financial services, insurance, securities, and/or investment management.

• Comprehensive knowledge of Registered Investment Adviser business and securities regulatory requirements in the independent advisor sector.

• Proven experience in effectively consulting with financial advisory practices at all organizational levels.

• Prior regulatory and/or compliance experience is mandatory.

• Strong interpersonal, negotiation, oral, and written communication abilities.

• Creative problem-solving skills, keen attention to detail, and exceptional follow-up capabilities.

• Proficient project management and time management skills.

• Leadership skills with the capacity to influence others without direct authority.

• Capability to lead multiple projects in a highly visible, fast-paced environment with minimal supervision.

• High level of personal and professional integrity, with the ability to maintain confidentiality.

🏝️ Benefits

• Various bonuses, including annual or long-term incentives.

• Medical, dental, and vision insurance.

• Health savings account.

• Flexible spending account.

• 401(k) plan.

• Pension plan.

• Life and accidental death and dismemberment insurance.

• Disability insurance.

• Supplemental protection insurance.

• 20 days of Paid Time Off each year.

• Sick and Safe Time.

• 10 paid company holidays.

• Volunteer Time Off.

• Paid parental leave.

• Employee Assistance Program (EAP).

• Well-being benefits.

• Additional employee benefits.