Compliance Officer - Investments

Location: Omaha, Nebraska, United States
Date Posted: 11-23-2015
Serves as BancWest Investment Services Chief Compliance Officer for the Registered Investment Advisor. Oversees the Registered Investment Advisor (RIA) Compliance function.  Ensures BWIS has policies and procedures in place to efficiently and effectively comply with all rules and regulations. Responsible for managing the execution and coordination of the RIA compliance program
Position Accountabilities
The BWIS Registered Investment Advisor Chief Compliance Officer provides primary oversight and supervision to the Wealth Management Group's advisory product offering.  Responsibilities include developing and maintaining policies and procedures and the overall design/maintenance of the advisory services compliance program.  Provides oversight of Wealth Management Group's investment advisory business, governed by the Investment Advisers Act of 1940 and various state regulatory authorities.   Other essential duties and skills/knowledge required for this job include:
◦Ability to provide daily monitoring and oversight of client portfolios and asset allocations to ensure general adherence to advice provided to clients, investment guidelines and/or client restrictions.
◦Ability to provide Registered Investment Advisor (RIA) Code of Ethics monitoring and oversight.
◦Ability to develop and maintain compliance policies and procedures for the Advisory Services product offering, including Investment Advisory Compliance Manual, Supervisory and Oversight Procedures, and the Registered Investment Adviser Code of Ethics.
◦Ability to review and approval advisory program sales literature, marketing materials and other communications; file with FINRA as necessary.
◦Ability to prepare and present annual SEC 206(4)-7 annual compliance testing and remediation report to senior management.
◦Ability to liaise with Bank Corporate Compliance Department to address and respond to any and all regulatory inquiries/examinations relating to the registered investment adviser.
◦Must have experience and ability to manage the annual Form ADV process.
◦FINRA Series 7, 24, and 66 (or 63 and 65)
◦Strong knowledge of bank/broker-dealer compliance
◦Compliance expertise in investment advisory wrap fee programs
◦Ability to read and interpret regulatory statutes and client guidelines
◦Strong Microsoft Excel and Microsoft PowerPoint skills
◦Strong written and verbal communication and inter-personal skills
 Education or Equivalent Experience
·         Bachelor’s degree or equivalent combination of education and work experience
·         Juris doctorate preferred
Required Experience
·         10 – 15 years in Compliance of a Registered Investment Advisor
·         NASD Series 7, 24, 53, and 63
Field of Experience
·         Knowledge of NASD, SEC, State and Banking rules and regulations for a Registered Investment Advisor operating in a banking environment
Administrative/Technical Skills
·         Ability to work independently
·         Ability to meet deadline and workloads
·         Analytical and research skills
·         Attention to detail
·         Investment and Insurance product and service knowledge
·         Effective problem solving
·         Excellent verbal and written communication skills
·         PC Skills
·         Planning and Organizational skills
Contact information:
Max Populi, LLC
4628 Bayard Street, #207
Pittsburgh, PA 15213-2750
Tel: (412) 567-5279
Fax: (412) 567-5198
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