Senior Compliance Leader — Regulatory Risk & RIA Programs

Sequoia Financial Group; Mayfield Heights (OH); On-site; USD 120,000 - 180,000; Full time

Job summary

Sequoia Financial Group in Ohio seeks an experienced Compliance professional to help ensure the firm adheres to SEC, FINRA, DOL, and state rules. You will support the CRO/CCO with policy development, training, and regulatory examinations.

With 10+ years in financial services compliance, you will guide risk assessments, update Form ADV, and coordinate due diligence on acquisitions, reporting to the Chief Risk and Compliance Officer.

Qualifications

• Bachelor’s degree in finance or related field.
• 10+ years of financial services compliance experience.
• Experience with SEC, FINRA, DOL and state securities and insurance rules.
• RIA industry experience preferred.
• Ability to lead projects and communicate with senior management.

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 such as Operations, marketing, HR, Finance and advisor groups 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.
• Reports to the Chief Risk and Compliance Officer.

Skills

Attention to detail

Highly organized

Clear written and verbal communication

Influence senior management

Multi-tasking

Financial services industry knowledge

Investment Advisers Act of 1940

Education

Bachelor’s degree

10+ years Financial Service Compliance Experience

Job description

Sequoia Financial Group in Ohio seeks an experienced Compliance professional to help ensure the firm adheres to SEC, FINRA, DOL, and state rules. You will support the CRO/CCO with policy development, training, and regulatory examinations.

With 10+ years in financial services compliance, you will guide risk assessments, update Form ADV, and coordinate due diligence on acquisitions, reporting to the Chief Risk and Compliance Officer.