What are the responsibilities and job description for the Compliance Manager position at Platform Accounting Group?
Description
Due to continuing growth, we are seeking a Compliance Manager to join our team. The Compliance Manager will be responsible for helping to ensure the company adheres to laws, regulations and internal policies by identifying issues and implementing solutions. To be successful in this role, you will be focused on results and providing exceptional service to our clients.
Who we are:
Platform Accounting Group is a rapidly growing professional services firm providing tax, accounting, assurance, IT consulting, and wealth management services to small and medium sized businesses and their owners. We currently have 41 offices across 14 States with much more growth on the horizon. We fully understand that every employee has different needs, so our unique business model allows for more flexible work arrangements than most firms can offer. Enjoy a professional and dynamic work environment while making work/life balance a priority.
What you will do:
Due to continuing growth, we are seeking a Compliance Manager to join our team. The Compliance Manager will be responsible for helping to ensure the company adheres to laws, regulations and internal policies by identifying issues and implementing solutions. To be successful in this role, you will be focused on results and providing exceptional service to our clients.
Who we are:
Platform Accounting Group is a rapidly growing professional services firm providing tax, accounting, assurance, IT consulting, and wealth management services to small and medium sized businesses and their owners. We currently have 41 offices across 14 States with much more growth on the horizon. We fully understand that every employee has different needs, so our unique business model allows for more flexible work arrangements than most firms can offer. Enjoy a professional and dynamic work environment while making work/life balance a priority.
What you will do:
- Assist the Sr. Director of Risk & Compliance with the administration of the Firm’s compliance program,
- Support the development and monitoring of effective compliance policies and procedures
- Perform compliance testing and monitoring for tax professionals, audit professionals, financial advisors and investment advisors,
- Review marketing materials and websites
- Assist in establishing and maintaining internal controls
- Draft, update, and implement company policies, providing training to employees on compliance and industry best practices
- Ensure records 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 examinations to reinforce regulatory compliance
- Communicate compliance standards across the organization, managing multiple projects simultaneously
- Proven experience as a Compliance Officer or Compliance Manager within a registered investment advisory (RIA) firm
- Strong knowledge of industry practices and regulatory standards
- Attention to details
- Proficiency providing detailed tracking, reports, spreadsheets
- Experience with regulatory filings, responding to regulatory exams and inquiries
- Proficiency with the technology platforms, compliance technology tools, charts, graphs, etc.
- Skilled in Microsoft Office (Excel, Word, PowerPoint, Outlook) and Adobe Acrobat
- Minimum of 4 years of compliance experience is preferred
- Bachelor’s degree in finance, law, business administration, or a related field
- Professional certification(s) such as Certified Regulatory Compliance Manager (CRCM) Investment Adviser Certified Compliance Professional (IACCP), Certified Compliance and Ethics Professional (CCEP), or Certified Compliance and Regulatory Professional (CCRP) is a plus
- Opportunity for advancement within a rapidly growing professional services firm
- Ongoing informal and formal training and development
- Competitive compensation
- 401(k) and medical benefits
- Firm sponsored continuing education
- This position is open to a hybrid work schedule
