IFG’s financial services client is seeking a contract or contract-to-hire Compliance Officer who will ensure adherence to regulatory requirements and internal policies, so expert knowledge of SEC RIA, FINRA, and other industry regulations is required
Responsibilities
- Administer and oversee the firm’s compliance and documentation system
- Monitor and ensure compliance with SEC requirements related to registration, licensing, training, and regulatory filings
- Assist in developing, maintaining, and implementing compliance policies and procedures to meet legal and regulatory standards
- Review and manage compliance with state laws, including annual renewals and associated recordkeeping
- Provide support during regulatory examinations and inquiries, including issue tracking, communication with business units, and drafting responses
- Serve as a compliance resource for senior leadership on special projects, regulatory initiatives, and policy interpretation
- Participate in various compliance-related tasks and special projects as needed
Qualifications
- Experience in the financial services preferably the broker dealer/investment advisory industries.
For immediate consideration, please email your resume to ericmaleski@ifgus.com