Job Description


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Compliance Manager & Investment Advisor

  • Ref: 302574
  • Type: Direct Hire
  • Location: Wayne, NJ
  • Industry: Financial Services
  • Job Level: Manager
  • Pay: Negotiable

Opportunity Description

A growing $1 Billion Registered Investment Advisory firm is looking for a Compliance Manager & Investment Advisor to join their team. This role is critical to the overall compliance initiatives of our firm, as well as the daily operations in support of the firm’s representatives.This is a great fit for someone with a results-oriented approach to resolving various compliance issues and achieving multiple objectives. We are looking for a team player to complement our 10-member firm and contribute to our dynamic culture.

Company Information

Industry: Investment Advisory

Job Duties

As the Compliance Manager & Investment Advisor, you will:

  • Provide day-to-day support in the development, implementation and maintenance of compliance programs for a variety of registered investment advisers
  • Development and implementation of compliance policies and procedures - ensure compliance policies and procedures are effectively communicated to client, in accordance with the Firm’s regulatory requirements
  • Maintains up-to-date unit policies and procedures consistent with regulatory requirements and unit protocols while promoting adherence to such protocols
  • Continuously monitor relevant regulatory changes and assist clients in developing internal controls, accordingly
  • Prepare and deliver compliance training
  • Prepare and submit annual and quarterly regulatory filings
  • Conduct annual compliance reviews
  • Provides support during regulatory audits and helps respond to regulatory inquiries
  • Various ad hoc projects as requested
  • Assist with both onboarding of new clients and servicing of existing clients.
  • Provide day-to-day support to the Director of Investment Operations. 


Education: Bachelors degree

Experience & Skills Required

Experience & Skills:

  • 2-4 years financial compliance experience in an investment advisory or financial institution
  • Experience filing SEC Form ADVs
  • Anti Money Laundering-AML procedures experience
  • Represents the organization in a professional manner when working with internal and external customers
  • Exhibits solid time management and organization skills
  • Proficient written and verbal communication skills
  • Works well independently and collaboratively with the team, business partners and internal and external customers