Investment Advisory Associate Director

A financial services firm is seeking an experienced professional to join their team as an Investment Advisory Associate Director.
Responsibilities :

• Work closely on compliance matters with client personnel
• Advise clients regarding compliant business practices Establish and/or maintain a compliance program
• Write, edit, and maintain Compliance Manuals and Code of Ethics Procedures
• Drafting Form ADV amendments
• Assist in all regulatory examinations and inquiries
• Participating in SEC mock exams
• Create RIA and client relationships via networking with our clients and contacts
• Perform other duties as needed

• Bachelor's degree in related field
• 3-5 years of direct RIA experience
• Demonstrated understanding of the Investment Advisors Act of 1940
• Solid analytical and research skills
• Excellent communication skills, writing, skills, interpersonal skills, and a strong presence
• Strong attention to detail
• Highly organized
• Adaptable personality (to work closely with a highly diverse client base)

• Broker-dealer compliance experience
• Experience in various types of RIA business lines

Reference # 501468