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RIA Compliance Manager

Aegon NV

This is a Full-time position in Duluth, GA posted November 10, 2021.

The RIA Compliance Manager manages the firm’s compliance with applicable laws, rules and regulations by establishing and enforcing policies and procedures for the firm’s registered investment adviser (RIA).

Possesses and applies broad knowledge of industry-related practices, concepts, and principles; works independently with applicable latitude for un-reviewed action or decisions; performs complex assignments.

What you will do:

-Provide regulatory oversight, risk management, and policy implementation for all investment advisory programs.

-Manage and provide support to RIA compliance staff.

-Identify process improvements and strategies for execution to assist CCO with achieving compliance objectives.

Implement department initiatives.

-Provide direction and guidance to firm personnel and field associates on investment advisory compliance issues, including fiduciary responsibility, advisory regulation, strategic relationships, and permissible activities under firm policy, SEC rules and regulations and the Investment Advisers Act of 1940.

-Maintain Form ADV Parts 1 and 2A.

Prepare and under the direction of the CCO, file annual amendments and interim ADV updates.

-Maintain Policies and Procedures, Code of Ethics and overall compliance program.

Identify and assess new or changing regulatory issues and market trends; develop, maintain and effectively communicate policies and procedures.

-Serve as a resource to firm personnel regarding special projects and regulatory initiatives; provide guidance and analysis of rules and/or firm policies as appropriate.

-Collaborate with the investment advisory team on the initial and ongoing due diligence of advisory programs and products to ensure agreements and fees are properly disclosed and firms are providing services as described.

-Assist with regulatory examinations and ensure implementation of new policies and procedures.

-Identify risks and conflicts of interest related to the firm’s business models.

-Provide guidance to advisors in the field with respect to RIA compliance and adherence to firm’s policies and standards of conduct.

-Maintain procedures in areas such as best execution, share class analysis, wrap fee programs, due diligence, performance reporting, proxy voting and advertising.

-Manage Independent RIA activity, compliance, and recordkeeping.

What you need:

-Bachelor’s degree in business, finance, marketing, pre-law or other relevant field, or equivalent education and experience. 

-Five years of investment advisory compliance experience.

-Strong working knowledge of the Advisers Act, SEC rules and regulations, and no-action letter guidance for RIAs.

Broad knowledge of securities products, investment advisory programs, services, arrangements, and related regulatory requirements.

-Must have thorough understanding of fiduciary responsibilities and requirements pertaining to the disclosure of conflicts of interest.

-Experience with implementing control enhancements and operational efficiencies.

-Series 65/66, 6 and 26 (or 7 and 24) registrations required.

Working Conditions

-Flexible Remote/Office environment.


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