Registered Investment Advisor Compliance Manager

Dickerson Group; United States; Remote; USD 90,000 - 120,000; Full time

Job summary

An innovative firm is seeking a strategic Registered Investment Advisor Compliance Manager to join their dynamic team. This role involves overseeing compliance testing and supporting management in understanding their compliance duties. With a strong focus on collaboration, the ideal candidate will have extensive experience in the securities industry and compliance testing. The position offers the flexibility of remote work or being based in Deerfield, IL, and provides an opportunity to make a significant impact within a rapidly growing organization. If you are passionate about compliance and client advocacy, this is the role for you.

Benefits

Medical Insurance

Dental Insurance

Life Insurance

Disability Insurance

401k

Generous Paid Time Off

Qualifications

• 5+ years in securities industry with investment advisory services.
• 3-5 years compliance experience with registered investment advisors.

Responsibilities

• Conduct oversight testing and surveillance activities.
• Assist in maintaining compliance books and records.
• Provide exceptional service to Alera advisors.

Skills

Securities Industry Experience

Compliance Testing

Customer Service Skills

Microsoft Office Suite

Education

Bachelor's Degree

Tools

Microsoft Excel

Job description

OVERVIEW

Alera Group is looking for a strategic and dynamic Registered Investment Advisor Compliance Managerto join our team!

Alera Group was founded in 2017 and has grown to become the 15th largest broker of US business. We are passionate about our clients’ success in the areas of Employee Benefits, Property and Casualty Insurance, Retirement Plan Services, and Wealth Services. With a network of offices nationwide, our commitment to collaboration allows us to offer national resources combined with local service.

The Registered Investment Advisor Compliance Manager will primarily be responsible for performing ongoing oversight testing and surveillance activities to identify and assess risk and compliance deficiencies across affiliated registered investment adviser firms for Alera Group. This position will support Alera’s compliance efforts by assisting the firm's management and advisors in understanding their compliance duties, while also providing support and leadership through collaboration and the effective execution of the Officer role's responsibilities. The ideal candidate will possess a strong understanding of the Investment Advisers Act and have experience in compliance testing at a registered investment advisor.

The position may be remote or located in Deerfield, IL.

RESPONSIBILITIES

• Partner with the Chief Compliance Officer and Alera personnel to ensure the completion of oversight testing and surveillance activities.
• Assist in the maintenance and updating of required books and records to include policies and procedures, ADV brochures, and the code of ethics.
• Perform testing of policies and procedures in support of the annual review requirements of Alera Group’s registered investment advisors.
• Partner with management and advisors in addressing compliance questions and concerns through thoughtful dialogue and inquiry to ensure proper advice and counsel is provided when needed.
• Creation and enhancement of processes and procedures to provide effective oversight and escalation of compliance matters.
• Development and analysis of reporting necessary to implement oversight of business and programs using data and information from multiple sources for each of our affiliated investment adviser firms.
• Provide exceptional service to your clients – the advisors of Alera– and be always an advocate and resource for the advisors and staff of Alera.

QUALIFICATIONS

• Series 65 or Series 66 & 7
• 5+ years of securities industry experience within organizations providing investment advisory services to both retail and institutional clients
• 3 to 5 years of compliance experience with a registered investment advisor, preferably with experience in testing or surveillance
• A four (4) year college degree or equivalent experience is required
• Proficiency with Microsoft Office Suite, including strong Excel skills
• Superior customer service skills in support of the mission of Alera Group

BENEFITS

Alera Group offers comprehensive benefits to our colleagues, including medical, dental, life and disability insurance, 401k, generous paid time off and much more.
Salary range: $90,000 to $120,000

We're an equal-opportunity employer. All applicants will be considered for employment without attention to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran, or disability status.

If you're a California resident, please read theCalifornia Consumer Privacy Actprior to applying.

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