What are the responsibilities and job description for the Senior Associate Director position at Asgard Regulatory Group, LLC?
The Senior Associate Director will be responsible in supporting the Asgard team with the delivery of expert advice to broker dealers regarding FINRA, SEC and / or state regulatory requirements and regulatory best practices. Additionally, the Senior Associate Director will provide ongoing compliance support to SEC registered investment advisers. As a Senior Associate Director you will play a critical role in ensuring that our operations adhere to all applicable laws, regulations, and internal policies. You will work closely with various departments to assess compliance risks, develop strategies to mitigate them, and implement best practices to enhance our compliance framework. We are seeking a dedicated and experienced Senior Associate Director to join our dynamic team and help us navigate the complexities of regulatory requirements.
Responsibilities include, but are not limited to :
- Perform compliance testing, documentation, and implementation of changes to policies and procedures as well as coordinating communications of same;
- Assist client with monthly, quarterly and or annual compliance reporting, testing & surveillance, checklists, certifications, acknowledgements including exception follow-up, if any, such as with Code of Ethics, Personal Trading, Account Statements, etc;
- Oversee the monitoring of clients' employees' electronic communications;
- Authorization to approve regulatory filings and resolve compliance issues;
- Participate in marketing material review and file necessary documents with regulators;
- Manage Code of Ethics pre-approval requests for personal trading, outside business activities, pay-to-play, and gifts & entertainment;
- Coordinate with your service providers and manage the compliance testing program, including testing the Firm’s Business Continuity Plan and Cybersecurity Plan, and other such annual requirements;
- Conduct compliance reviews and internal control testing;
- Continuously monitor relevant changes and assist clients in developing internal controls, accordingly;
- Draft, review and update compliance policies and procedures manuals, business continuity plans, and anti-money laundering policies and procedures;
- Prepare and deliver Compliance Training Programs such as the Annual Compliance Meeting;
- Processing CRD and / or EDGAR regulatory filings;
- Investment Advisory Compliance experience is required;
- Providing regulatory filing services at the firm and individual level, including but not limited to Form U4s, U5s, Form BD amendments, Form BRs, Form ADV, CRD / IARD, EDGAR regulatory filings;
- Lead and / or oversee audits from auditors such as FINRA, the SEC and / or state regulatory authorities.
- Undergraduate degree required;
- 7 years of Broker Dealer and / or Investment Advisor compliance related experience;
- Series 7 and 24, CAMS preferred and / or other relevant licenses;
- Excellent written and verbal communication skills;
- Must be able to work from our office in Melville, NY;
- Experience with compliance program development;
- Independent self-starter and ability to work with teammates;
- CCO experience preferred;
- Previous consulting experience preferred.
- Base Salary and discretionary bonus eligibility
- Medical and Dental benefits, including 401K with 6% match
- Paid Time Off
- Casual to Business Casual Attire
- Must be able to work from our office in Melville, NY
- Flexible Friday’s during summer
Education and Experience Requirements :
What We Offer :
Compensation :
The anticipated base salary range for this position is listed below. The salary range takes into account number of years of relevant work experience, education, and other relevant qualifications specific to the role.
130,000 - $180,000
Salary : $130,000 - $180,000