Compliance Officer

Madison-Davis, LLC; Texas; Presencial; USD 85 000 - 130 000; Tempo integral

Resumo da oferta

Madison-Davis, LLC seeks a Compliance Officer to oversee regulatory oversight across its investment advisory and broker-dealer businesses in Texas. The role emphasizes maintaining and improving compliance programs, conducting supervisory reviews, and guiding investment professionals on regulatory matters.

The ideal candidate will have RIA or broker-dealer compliance experience, strong knowledge of investment adviser regulations, and the ability to work independently in a collaborative team

Qualificações

• Bachelor's degree or equivalent in Business/Finance or related field.
• 3–5 years of compliance experience in broker-dealer or RIA environment.
• FINRA Series 7 required unless experienced in investment advisory.
• Knowledge of SEC and FINRA regulations and supervisory requirements.
• Strong written and verbal communication; detail-oriented.

Responsabilidades

• Support the ongoing administration and enhancement of the firm's RIA compliance program.
• Assist with regulatory filings, including Form ADV Parts 1, 2A, 2B.
• Participate in annual compliance assessments under Rule 206(4)-7.
• Conduct compliance inspections of branch offices and corporate locations.
• Review supervisory activities and assist with corrective actions.
• Provide regulatory guidance to Investment Adviser Representatives (IARs).
• Assist with regulatory examinations, information requests, and internal reviews.
• Review and update Written Supervisory Procedures and internal controls.
• Support oversight of advertising, marketing materials, and complaints.
• Assist with annual executive compliance certifications and training.

Conhecimentos

Regulatory compliance

Financial services

Analytical thinking

Communication skills

Microsoft Office

Self-motivation

Regulatory knowledge

Formação académica

Bachelor's degree in Business/Finance or related field

Ferramentas

Microsoft Office Suite

Descrição da oferta de emprego

An established financial services organization is seeking a Compliance Officer to support regulatory oversight across its investment advisory and broker-dealer businesses.

This position will focus on maintaining and improving compliance programs, conducting supervisory reviews, and providing regulatory guidance to investment professionals.

The ideal candidate will bring experience in RIA or broker-dealer compliance, a strong understanding of investment advisory regulations, and the ability to work independently in a collaborative environment.

Key Responsibilities

• Support the ongoing administration and enhancement of the firm's Registered Investment Adviser (RIA) compliance program.
• Assist with regulatory filings, including the preparation and annual updates of Form ADV Parts 1, 2A, and 2B.
• Participate in annual compliance assessments under Rule 206(4)-7 of the Investment Advisers Act.
• Conduct compliance inspections of branch offices and corporate locations, documenting findings and recommending improvements.
• Review supervisory activities, identify potential compliance concerns, and assist with corrective actions.
• Provide regulatory guidance and compliance support to Investment Adviser Representatives (IARs) and advisory business teams.
• Assist with regulatory examinations, information requests, and internal compliance reviews.
• Review and update Written Supervisory Procedures (WSPs), policies, and internal controls.
• Support oversight of advertising, marketing materials, electronic communications, and customer complaints.
• Assist with annual executive compliance certifications and employee regulatory training.
• Collaborate with compliance leadership on special projects and ongoing regulatory initiatives.

Required Qualifications

• Bachelor's degree, preferably in Business, Finance, or a related field, or equivalent relevant experience.
• 3–5 years of compliance experience within a broker-dealer, Registered Investment Adviser, or related financial services environment.
• FINRA Series 7 required, unless supported by substantial investment adviser experience.
• Experience supporting investment advisory programs and Investment Adviser Representatives.
• Knowledge of SEC and FINRA regulations, supervisory requirements, and compliance monitoring practices.
• Strong written and verbal communication skills with the ability to explain complex regulatory matters clearly.
• Proficiency in Microsoft Office, including Excel, Word, PowerPoint, and Outlook.
• Strong organizational skills, attention to detail, and ability to manage multiple responsibilities.

Preferred Qualifications

• FINRA Series 24, 65, and/or 66 registrations.
• Experience with RIA compliance reviews, Form ADV filings, and branch examinations.
• Familiarity with surveillance, supervisory testing, and regulatory examination processes.
• Working knowledge of SQL or compliance reporting tools.