Business Unit Compliance Officer

Responsibilities include but are not limited to:

* Design and execute on comprehensive control and testing framework pursuant to SEC Rule 206(4)-7; assist with testing framework pursuant to FINRA 3120.

* Prepare Form ADV materials.

* Prepare annual 206(4)-7 report to senior management/Board of Directors.

* Establish and maintain compliance programs for business line and drive a culture of compliance within the firm.

* Identify and assess the firm's compliance risks and perform the annual risk assessment.

* Conduct, no less than annually, a compliance meeting wherein compliance matters relevant to all supervised persons' activities are discussed.

* Conduct and document ongoing compliance training for all employees.

* Monitor client communication notices, including correspondence and email.

* Review and respond to client complaints.

* Review and approve contracts, disclosure documentation and marketing materials.

* Monitor supervised persons' securities transactions and personal securities holdings. Participate in and process responses for parent company audits and self-assessment inquiries.

* Act as firm liaison with regulators and respond to all regulatory inquiries; liaise with outside counsel or consultants as needed.

* Identify and monitor trends in regulatory and industry environments and assess their impact on the organization.

* Research complex compliance issues and report recommendations to management.

* Develop proactive compliance tools.

* Maintain required registrations and filings, written supervisory policies and procedures manual.

Required Skills:

* Ability to build strong relationships and interact effectively with all levels of the organization.

* Excellent verbal and written communication skills.

* Detail-oriented, flexible and proactive in all areas of responsibility.

* Ability to identify and analyze compliance issues.

* Knowledge of the Investment Advisers Act of 1940, SEC and FINRA rules, compliance policies, procedures and best practices.

* Ability to ensure that quality control (transactional) testing is conducted as appropriate to detect deviations of actual transactions from policies or standards.

* Ability to manage the advisor's Code of Ethics.

* Ability to develop effective compliance systems and workflows.

* Ability to function collaboratively and provide leadership and direction on compliance issues.

* Ability to formulate and implement company compliance strategies.

* Advanced PC skills and experience with Microsoft Office applications.

* Ability to prioritize work and handle multiple tasks simultaneously in fast paced environment.

* Strong knowledge of The Investment Advisers Act of 1940 (Advisers Act), current SEC and other rules and regulations governing investment advisors.

Required Experience:

* Bachelor's Degree in Business, Finance, Compliance or related field. Minimum of 7 years of related experience at an RIA.

* Experience implementing and monitoring compliance policies and procedures. Experience dealing with SEC regulatory examinations.