Compliance Officer

Blacklock Group; Arizona; On-site; USD 120,000 - 180,000; Full time

Job summary

Blacklock Group in Arizona is seeking a Compliance Officer to join a hands-on team reporting to the CCO. The role spans wealth management and investment activities, focusing on regulatory compliance, monitoring, and governance.

You will work closely with investment and operations teams to ensure adherence to SEC rules and Advisers Act requirements, including ethics administration and third-party oversight.

Qualifications

• Senior compliance experience within an RIA / investment adviser.
• Comfortable working closely with investment and operational teams.
• Strong attention to detail and ability to operate independently.

Responsibilities

• Compliance monitoring, testing and surveillance
• Investment Advisers Act / SEC regulatory requirements
• Alternative investments and private/pooled investment vehicles
• Client and investment management agreements
• Code of Ethics administration
• Third-party sub-adviser & vendor oversight
• Electronic communications and social media review
• Policies, procedures and supervisory controls
• Supporting SEC examinations and the annual 206(4)-7 compliance review

Skills

Compliance

Regulatory knowledge

RIA experience

SEC experience

Education

Bachelor's degree in Finance, Accounting, or related field

Tools

MS Office

GRC tools

Job description

I’m working with an Investment Firm in Arizona that is looking to add a Compliance Officer to its growing team.

This is a hands-on role reporting directly into the CCO, with exposure across the firm’s wealth management and investment activities.

The role will cover:

• Compliance monitoring, testing and surveillance
• Investment Advisers Act / SEC regulatory requirements
• Alternative investments and private/pooled investment vehicles
• Client and investment management agreements
• Code of Ethics administration
• Third-party sub-adviser & vendor oversight
• Electronic communications and social media review
• Policies, procedures and supervisory controls
• Supporting SEC examinations and the annual 206(4)-7 compliance review

Ideal background:

• Senior compliance experience within an RIA / investment adviser
• Comfortable working closely with investment and operational teams
• Strong attention to detail and ability to operate independently