St. Petersburg, FL30+ days ago
The ideal candidate will have (1) a successful RIA compliance track record, (2) demonstrated an ability to implement technology solutions to support an RIA model, (3) significant experience interacting with regulators and organizational leadership, (4) broad experience with the regulation of investment advisors, (5) a proven ability to lead, design and implement core areas of a best-in-class advisory compliance program, (6) develop program level metrics and executive reporting to relevant committees and the Board, and (7) familiarity with industry trends and leading advisory compliance technology. Responsibilities: Responsible for supporting the 206(4)-7 compliance program, developing and administering investment advisory policies and procedures, updating and delivering required regulatory documents (Form ADV, CRS), and completing required regulatory filings (Form ADV, 13F, 13G).Develop, implement, and evolve advisory policies and procedures, surveillance and testing, compliance program administration, and product and platform compliance.