Compliance Officer

Leeds Professional Resources; Florida; On-site; USD 60,000 - 90,000; Full time

Job summary

Leeds Professional Resources seeks a detail-oriented Compliance Associate for a growing Registered Investment Adviser. You will support the SEC reporting, maintain the firm's compliance program, and assist the CCO with examinations and ongoing monitoring.

Fluency in English and Spanish, a degree in Finance/Accounting/Business, and hands-on experience with Form ADV and Form CRS are preferred. The role emphasizes meticulous records, timely regulatory submissions, and effective communication with

Qualifications

• Bachelor’s degree in Finance, Accounting, Business, or Legal Studies preferred.
• Experience in compliance within an SEC-registered adviser or financial firm.
• Strong knowledge of Investment Advisers Act of 1940 and SEC rules.
• Fluency in English and Spanish.
• Hands-on experience preparing Form ADV and Form CRS filings.
• Familiarity with fiduciary duty, conflicts of interest, and books & records.

Responsibilities

• Assist with administration and oversight of the firm’s compliance program.
• Prepare, review, and coordinate SEC filings (Form ADV Parts 1 & 2, Form CRS).
• Assist with the preparation, maintenance, and testing of compliance policies and procedures.
• Support the Chief Compliance Officer with annual reviews, regulatory examinations, and ongoing monitoring.
• Monitor regulatory developments, SEC guidance, and changes in applicable rules and regulations.
• Maintain compliance records, documentation, books and records, and regulatory reporting calendars.
• Assist with employee compliance matters, including personal securities transactions and conflicts of interest.
• Conduct periodic compliance reviews and address potential compliance risks.
• Support the preparation and submission of other regulatory filings and reports.
• Assist with responding to SEC examination requests, internal audits, and regulatory inquiries.

Skills

SEC regulations knowledge

Regulatory filings

Bilingual English/Spanish

Attention to detail

Microsoft Office (Excel/Word)

Education

Bachelor's degree in Finance, Accounting, Business, or Legal Studies

Tools

Microsoft Office

Job description

We are seeking a detail-oriented and highly motivated Compliance Associate to join our growing Registered Investment Adviser (RIA). The ideal candidate will have experience supporting regulatory compliance functions within an investment advisory firm, with a strong working knowledge of SEC regulations, regulatory filings, and the Investment Advisers Act of 1940.

This individual will play an important role in maintaining and enhancing the firm's compliance program, supporting regulatory reporting obligations, and ensuring adherence to applicable SEC rules and regulations.

Key Responsibilities

• Assist with the administration and oversight of the firm's compliance program in accordance with the Investment Advisers Act of 1940 and applicable SEC regulations.
• Prepare, review, and coordinate SEC regulatory filings, including Form ADV Parts 1 and 2, Form CRS, and applicable amendments and annual updates.
• Assist with the preparation, maintenance, and testing of compliance policies and procedures.
• Support the Chief Compliance Officer (CCO) with annual compliance reviews, regulatory examinations, and ongoing compliance monitoring.
• Monitor regulatory developments, SEC guidance, and changes in applicable rules and regulations.
• Maintain compliance records, documentation, books and records, and regulatory reporting calendars.
• Assist with employee compliance matters, including personal securities transactions, code of ethics requirements, outside business activities, and conflicts of interest.
• Conduct periodic compliance reviews and assist in identifying and addressing potential compliance risks.
• Support the preparation and submission of other applicable regulatory filings and reports.
• Assist with responding to SEC examination requests, internal audits, and regulatory inquiries.

Qualifications & Experience

• Bachelor's degree in Finance, Accounting, Business, Legal Studies, or a related field preferred.
• Experience in compliance, preferably within an SEC-registered investment adviser, wealth management firm, or financial services organization.
• Strong working knowledge of the Investment Advisers Act of 1940 and applicable SEC rules and regulations.
• Fluency in English and Spanish
• Hands-on experience preparing, reviewing, and submitting SEC regulatory filings, particularly Form ADV and Form CRS.
• Familiarity with SEC compliance requirements, regulatory examinations, and investment adviser compliance programs.
• Understanding of fiduciary duty, conflicts of interest, custody requirements, advertising and marketing rules, and books and records requirements.
• Excellent organizational skills and attention to detail, with the ability to manage multiple deadlines.
• Strong written and verbal communication skills.
• Proficiency in Microsoft Office, particularly Excel and Word.