What are the responsibilities and job description for the Compliance Manager position at Apollon Wealth Management?
Compliance Manager
Reports to: Chief of Compliance
Status: Exempt
Type: Remote or Hybrid
We are seeking a Compliance Manager to play a critical role in managing Apollon Wealth’s compliance program. This individual will collaborate closely with the Chief Compliance Officer (CCO) to ensure the firm adheres to regulatory obligations and maintains high standards of compliance across all operations.
Reports to: Chief of Compliance
Status: Exempt
Type: Remote or Hybrid
We are seeking a Compliance Manager to play a critical role in managing Apollon Wealth’s compliance program. This individual will collaborate closely with the Chief Compliance Officer (CCO) to ensure the firm adheres to regulatory obligations and maintains high standards of compliance across all operations.
Duties and Responsibilities:
- Ensure all marketing materials, emails, and social media content meet regulatory standards.
- Oversee personal securities transactions, outside business activities, gifts & entertainment, and political contributions.
- Manage initial onboarding, including FINRA’s FinPro notice filings and creating ADV Part 2B documents.
- Ensure proper documentation and adherence to activity requirements.
- Assist the CCO with filings, such as quarterly 13F reports and the annual ADV amendment.
- Provide training for new hires on compliance policies and procedures.
- Perform both remote and in-person branch office reviews.
- Monitor checks and securities logs for compliance.
- Help with the pre-approval of alternative investments and advisory annuities.
- Collaborate with the CCO to manage and oversee complaints and trade incidents.
- Conduct forensic testing to ensure compliance with internal controls.
- Perform other tasks as needed to support the firm’s compliance obligations.
Skills and Experience:
- 3 to 5 years of compliance oversight experience in the financial industry, with a focus on Investment Advisers.
- Excellent written and verbal communication skills, including proficiency in email, phone, in-person, and video communications.
- Strong understanding of SEC regulations and FINRA requirements.
- Exceptional attention to detail with the ability to manage multiple tasks simultaneously.
- Analytical mindset with the ability to identify and resolve compliance issues.
