What are the responsibilities and job description for the Investment Compliance Manager position at Brookstone Capital Management?
Our Mission
Brookstone Capital Management is dedicated to providing innovative financial solutions to our clients. As a Risk Governance Professional, you will play a crucial role in ensuring the highest level of compliance with relevant laws and regulations. Key responsibilities include reviewing client accounts, approving marketing materials, and training employees on policies and procedures.
Responsibilities
- Review client accounts for adherence to stated investment policy statements.
- Approve Investment Adviser marketing materials and sales literature.
- Assist with annual compliance program review and testing.
- Train employees and Investment Advisers about policies, procedures, and applicable federal securities laws.
- Perform periodic branch office inspections.
- Conduct initial and ongoing sub-advisor due diligence.
Qualifications
- Bachelor's degree in Finance or related field from a four-year college.
- Series 65 or 66 Securities Licenses.
- Experience in Investment Adviser compliance and supervision.
- Ability to work independently while maintaining a proactive approach.
