Compliance Officer

Blacklock Group; Arizona; On-site; USD 70,000 - 110,000; Full time

Job summary

Blacklock Group is seeking a Compliance Officer in Arizona to join its investment management team, reporting to the Chief Compliance Officer. You will ensure marketing materials comply with SEC rules and help manage regulatory risk.

The role requires a Bachelor's degree and 2–3 years in financial services compliance, with strong Excel and MS Office skills. You will prepare DDQs/RFPs, run routine monitoring, and help maintain policies and the compliance manual.

Qualifications

• Bachelor's degree or equivalent required.
• 2–3 years' compliance experience in financial services (RIA, investment adviser, or broker-dealer preferred).
• Working knowledge of SEC rules and investment company compliance.

Responsibilities

• Review marketing materials for SEC compliance.
• Support DDQs and RFPs.
• Conduct regular compliance monitoring using checklists (weekly, monthly, quarterly).
• Maintain and update compliance policies, procedures and the firm's compliance manual.
• Assist with risk assessments, annual compliance reviews and vendor due diligence.

Skills

SEC rules knowledge

Regulatory knowledge

Education

Bachelor's degree

Tools

Excel

Job description

An established and growing investment management firm is looking to hire a Compliance Officer to join its team, reporting directly to the Chief Compliance Officer.

Key Responsibilities

• Review marketing and advertising materials to ensure compliance with SEC regulations, including performance advertising and disclosure requirements.
• Support the preparation of Due Diligence Questionnaires (DDQs) and Requests for Proposals (RFPs).
• Complete regular compliance monitoring, including weekly, monthly and quarterly checklists.
• Maintain and update compliance policies, procedures and the firm's compliance manual.
• Assist with risk assessments, annual compliance reviews and vendor due diligence.

Candidate Requirements

• Bachelor's degree or equivalent.
• Ideally 2–3 years' compliance experience within financial services, preferably at an RIA, investment adviser or broker-dealer.
• Working knowledge of SEC rules and regulations, particularly those relating to investment advisers and registered investment companies.
• Strong Microsoft Office skills, particularly Excel.