What are the responsibilities and job description for the Compliance Manager position at Vivid Tax & Wealth Advisors?
Overview
We are seeking a dedicated and detail-oriented Compliance Manager to join our team. The ideal candidate will play a crucial role in ensuring that our operations adhere to regulatory standards and internal policies. The role is ideal for a high-functioning, energetic professional with compliance experience within a Registered Investment Advisory and an understanding of FINRA Broker-Dealer and/or SEC Registered Investment Advisor regulations. In this role, you will assist in supporting and monitoring the regulatory compliance program for Vivid Wealth Management, Inc., reporting directly to the Chief Compliance Officer and supporting our SEC Registered Investment Advisor compliance programs pursuant to applicable SEC and FINRA regulations and firm policies and procedures.
Duties
- Assists with the day-to-day activity of RIA programs including registration and licensing, monitoring and supervising activities of IARs and training and education of IARs
- Assists with the development, updates and enforcement of the firm’s policies and procedures
- Assists with the periodic testing and verification of the firm’s RIA compliance program
- Performs supervision of email surveillance, escalating items to the CCO as appropriate
- Performs reviews of advertising and sales materials and other business communications
- Assists in implementation of new regulatory requirements and execution of business initiatives
- Conducts and facilitates internal and 3rd party and vendor testing
- Conduct compliance training and update personnel on compliance issues
- Identify, assess and manage compliance risks driven by legislation, regulation, customer requirements and industry trends, including impact assessment of the risks to our products, market position and operations
Required Experience
- Bachelor's degree
- 3 years of related experience in compliance functions with a broker-dealer or RIA
- 65 Securities License
Job Type: Part-time
Pay: $30,000.00 - $60,000.00 per year
Expected hours: 10 – 20 per week
Schedule:
- Monday to Friday
Experience:
- Broker Dealer or Registered Investment Advisory firm: 3 years (Required)
Ability to Commute:
- West Des Moines, IA 50266 (Required)
Work Location: In person
Salary : $30,000 - $60,000