What are the responsibilities and job description for the Compliance Officer | Investment Advisory Firm (RIA) position at Mission Creek Capital Partners Inc.?
Company Description
We are an independent registered investment advisor (RIA) firm based in the San Francisco Bay Area, delivering specialized investment management strategies. Serving institutions, family offices, executives, entrepreneurs, and private clients, we provide a comprehensive suite of services, including asset allocation, portfolio management, tailored wealth strategies, and private equity distribution services. Our approach prioritizes building personalized, collaborative relationships to support clients in reaching their financial and investment goals.
Role Description
We are seeking a Compliance Officer to maintain and enhance our compliance policies and procedures, ensuring the firm’s adherence to regulatory standards. This role encompasses a range of responsibilities, including monitoring regulatory compliance, educating staff on compliance requirements, and coordinating preparations for mock SEC examinations.
Responsibilities
Support the development and monitoring of effective compliance procedure
s, including the Investment Advisers Act and Investment Company Act
- Assist in establishing and maintaining internal controls, conducting ongoing compliance testing
- Draft, update, and implement company policies, providing training to employees on compliance and industry best practices
- Ensure client folders are accurately maintained, complete, and consistently updated
- Gather data and prepare necessary information for regulatory reports and filings
- Aid in the production and accuracy of annual and quarterly compliance reports, ensuring accuracy and thoroughness
- Coordinate and prepare for mock SEC examinations to reinforce regulatory compliance
- Communicate compliance standards across the organization, managing multiple projects simultaneously
We are focused on results and on providing exceptional service to our clients
Qualifications
Proven experience as a Compliance Officer or Compliance Manager within a registered investment advisory (RIA) firm
Strong knowledge of industry practices and regulatory standards
Experience with regulatory filings, including : Form ADV, Forms 13F, 13G and 13H, management of IARD, PFRD, and CRD access, maintenance of U4 / U5 forms
Proficiency with the ComplySci Platform and similar compliance technology tools
Skilled in Microsoft Office (Excel, Word, PowerPoint, Outlook) and Adobe Acrobat
Minimum of 4 years of compliance experience within an RIA firm is preferred
Bachelor’s degree in finance, law, business administration, or a related field
Professional certification(s) such as Investment Adviser Certified Compliance Professional (IACCP), Certified Compliance and Ethics Professional (CCEP), or Certified Compliance and Regulatory Professional (CCRP) are a plus
