What are the responsibilities and job description for the Compliance Officer position at Fiducient Advisors?
Fiducient Advisors provides tailored and personalized investment consulting services to clients such as retirement plan sponsors, endowments and foundations, private clients, and financial institutions. We operate with over 200 professionals nationwide, supporting our distinct purpose of helping clients prosper.
The Compliance Officer is responsible for assisting the Compliance Manager in ensuring the firm complies with applicable regulatory requirements. The Compliance Officer also plays a vital role in collaborating with the Compliance Manager on initiatives that drive new efficiencies to deliver top-notch client service and reduction of risk. This individual will serve as the primary day-to-day compliance partner to the firm’s marketing team and management of the firm’s code of ethics.
Responsibilities :
- Review the firm’s marketing campaigns (presentations, market commentaries, RFP responses, marketing-related website content, and ad hoc marketing pieces) to ascertain compliance with all regulatory requirements. Provide a timely and accurate response including regulatory basis for requested changes and recommend alternatives to ensure content is compliant.
- Work with business teams on implementing regulatory changes that impact marketing
- Interpret, advise, administer, and monitor the Firm’s Code of Ethics for personal trading along with all required employee reporting requirements
- Assist with electronic communication reviews
- Support Compliance Manager by conducting compliance testing on the firm’s policies and procedures
- Assist with the preparation and submission of regulatory filings and disclosure documents
- Provide support for internal and external audits and examinations
- Conduct oversight and due diligence on critical vendors
- Assist with trade error review and monitoring
- Assist with the revision of policies and procedures
- Assist with annual and ad hoc compliance training
- Performs other compliance duties as required by the Compliance Manager
Required Education, Professional & Technical Experience
Essential Traits
Work Environment & Travel Requirements
Physical Job Expectations
The physical job expectations described here are representative of those that must be met by an associate to successfully perform the essential functions of this job :
What We Offer (Summary Highlights)
A workplace that welcomes authenticity and practices acceptance for what makes each of us different. We are committed to educating our team, growing as a firm, and taking intentional actions related to diversity, equity, belonging and inclusion. We strive to be active participants of change in and outside our industry.
The base salary range for this position is $90,000 – $115,000. The base salary offered will be determined by factors including, but not limited to, experience, credentials, education, certifications, skill level required for the position, the scope of the position, and geographic location. Actual base salary offered will be determined on a case-by-case basis. In addition to the base salary, this position may be eligible for performance-based incentives.
Paid Time Off
Work Life Convenience Benefits
Fiducient Advisors is a CFA Institute DEI Signatory. As a signatory, we commit to six Code Principals that seek to drive DEI progress in a meaningful way that can be measured. The six principles focus on pipeline, talent acquisition, promotion and retention, leadership, influence, and measurement.
Fiducient Advisors is an Equal Opportunity Employer that provides equal opportunities to all employees and applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, age, national origin, disability, genetic predisposition or carrier status, or any other characteristic protected by federal, state, or local law. The company is committed to this policy with respect to recruitment, hiring, placement, promotion, transfer, training, compensation, benefits, employee activities and general treatment during employment. It is expected that all employees are aware of this policy and that they create an environment that is sensitive and respectful to all individuals.
We are committed to upholding a workplace that welcomes authenticity and practices acceptance for what makes each of us different. We are committed to educating our team, growing as a firm, and taking intentional actions related to diversity, equity, equality, belonging and inclusion. We strive to be active participants of change in and outside our industry.
Salary : $90,000 - $115,000
