20 Senior Compliance Officer Jobs in Cleveland, OH
Larson Maddox is Hiring a Senior Compliance Officer Near Cleveland, OH
A highly reputable and rapidly growing financial services organization is looking to add a driven, detailed, and engaging Senior Compliance Officer to its Investment Advisory team. An ideal candidate is someone who has a strong background with compliance matters for wealth management firms and products, platforms, and filings of the IA sector. This role offers exposure to high-level compliance experiences that will provide exciting work and the path for future professional growth opportunities. The position can sit in a hybrid setting in Cleveland.
You will be responsible for…
- Manage a team of Compliance Officers and Analysts
- Lead the preparation and filing of regulatory matters such as Form ADV Part 1, Part 2A, Form CRS, wrap fee brochures, Form 13F and 13H
- Develop and manage the company’s RIA Compliance Program
- Partner with the Operations, Products, and Platforms teams on various projects and questions related to those divisions, with guidance for any investment advisory implications
- Assist with all investment advisory compliance issues for wealth management firms
- Partner directly with and advise senior leadership on compliance issues in the IA space and provide unique solutions
You should have the following qualifications…
- Bachelor’s degree; preferably in Finance
- 5 years of Investment Advisory compliance experience, preferably at a RIA
- Significant experience working with the Advisers Act of 1940, Company Act of 1940, and Securities Act of 1933
- Knowledge and understanding of SEC rules and regulations
- Experienced with FINRA rules and requirements
- Prior experience in a leadership position
- Project management capabilities
- Knowledge of investment platforms is a plus
- Series 7 and 24 are preferred
Benefits…
- Competitive salary and an excellent bonus package
- Full Benefits (medical/dental/vision/401k) on first day of employment
- Excellent PTO plan
- Remote work days
If you are interested, please click the link above for immediate consideration!
Job Summary
Full Time
$153k-299k (estimate)
07/03/2024
07/31/2024
The job skills required for Senior Compliance Officer include Leadership, Project Management, etc. Having related job skills and expertise will give you an advantage when applying to be a Senior Compliance Officer. That makes you unique and can impact how much salary you can get paid. Below are job openings related to skills required by Senior Compliance Officer. Select any job title you are interested in and start to search job requirements.
The following is the career advancement route for Senior Compliance Officer positions, which can be used as a reference in future career path planning. As a Senior Compliance Officer, it can be promoted into senior positions as a Government Compliance Manager that are expected to handle more key tasks, people in this role will get a higher salary paid than an ordinary Senior Compliance Officer. You can explore the career advancement for a Senior Compliance Officer below and select your interested title to get hiring information.
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