RIA Compliance Leader: Risk, Policy & Training

Sequoia Financial Group; Akron, Northern (OH, KY); Hybrid; USD 120,000 - 160,000; Full time

Job summary

Sequoia Financial Group in Akron, OH seeks a Senior Compliance Manager to lead the firm's regulatory program, primarily ensuring SEC and FINRA compliance and risk management across advisory services.

The role partners with the Chief Risk and Compliance Officer to develop, communicate, and monitor policies and procedures, conducts training, and guides regulatory examinations. Ten-plus years of experience in financial services compliance are required.

Qualifications

• 10+ years of Financial Service Compliance experience.
• Strong attention to detail.
• Highly organized with excellent multi-tasking.
• Clear written and verbal communication.
• Ability to influence senior management.
• Knowledge of the financial services industry.
• Deep familiarity with the Investment Advisers Act of 1940.

Responsibilities

• Assist with the implementation and communication of the RIA compliance program within the team as well as with the firm.
• Review and maintain firm compliance policies and procedures, both current and newly needed updates based on industry and regulatory changes.
• Assist in evaluating internal and external trends and rules and regulations to ensure the firm is in compliance and staying on pace with requirements.
• Assist with the creation and execution of ongoing compliance training and guidance to internal teams.
• Assist with regulatory examinations and inquiries, as well as the necessary follow-ups.
• Collaborate with departments within the firm on compliance items.
• Provide technical expertise to the firm and team members.
• Responsible for taking the lead on project management.
• Assist with Due Diligence and integration of firms acquired through M&A including being a point person for compliance requests and questions.
• Conduct periodic internal reviews, risk assessments, and compliance testing, while also overseeing the overall execution of the annual compliance monitoring and testing plan.
• Help maintain and update regulatory documents like the Form ADV.
• Prepare annual and ongoing reports for the CRO/CCO and senior leadership team.

Skills

Financial compliance experience

Attention to detail

Organized

Communication skills

Influence senior management

Multi-tasking

Financial services knowledge

Investment Advisers Act of 1940

Job description

Sequoia Financial Group in Akron, OH seeks a Senior Compliance Manager to lead the firm's regulatory program, primarily ensuring SEC and FINRA compliance and risk management across advisory services.

The role partners with the Chief Risk and Compliance Officer to develop, communicate, and monitor policies and procedures, conducts training, and guides regulatory examinations. Ten-plus years of experience in financial services compliance are required.