Job Description

The Compliance Manager or Consultant mainly performs reviews of client documents, conducts testing, and documents those reviews. As part of the testing and review process, the Compliance Associate or Manager will be required to:

• serve as main client contact, for assigned client accounts, and manage engagements to ensure deliverables meet quality and timeliness standards.

• read and understand technical and legal documents (e.g., rules and regulations, contracts, policies and procedures, forms, reports, statements, marketing materials, etc.).

• calculate and manipulate data from extensive excel spreadsheets to compare, reconcile and identify areas of weakness or confirm adherence with rules and regulations.

• document the results of their findings in Excel and prepare summary reports in Word.

• review policies and procedures for regulatory requirements and best practices and provide comments/feedback.

• draft and file regulatory documents.

Training is provided. Some travel may be required for training purposes.

Although it will not be a primary role, the Compliance Associate may be responsible for certain administrative tasks which will be assessed based on that individual’s strengths. Training is provided for all position responsibilities, as needed.

Required Qualifications

• a Bachelor’s degree

• understanding of the Investment Advisers Act of 1940

• 3-5+ years working in compliance for or with a registered investment adviser

• a desire to evaluate information against a set of standards and ensure that it is correct

• strong attention to detail

• the ability to work with little or no supervision

• the ability to effectively use resources and work in a reliable and responsible manner

• proficiency with Microsoft Excel and Word

• good technical writing skills

• a propensity toward information gathering, examining information, asking questions, listening, understanding the implications, and using logic and creativity to solve problems

• strong organizational skills

• an awareness of the needs of others

• the ability to supportively work with colleagues and, eventually, clients

• the ability to be personable, professional, articulate, and pragmatic in communications and correspondence

• the ability to move quickly and correctly between multiple activities

• a desire to take on new responsibilities and challenges

Preferred Qualifications

• experience participating in an SEC exam

• experience with different types of registered investment advisors (private funds, mutual funds, SMA and/or UMAs)

• understanding of the Investment Advisers Act of 1940

• education or experience with compliance, finance, legal, accounting, or economics

• a compliance credential (either CSCP or IAACP)

Remote Position Details

Candidates can work from any suitable remote location in the United States. The firm will provide the tools and equipment necessary to set up a home office and the training to facilitate the safeguarding of client information at their home office and while traveling. Working remotely does serve its own challenges, so it is imperative that the candidate possesses excellent communication skills and is proactive in discussing workflow with the team. The firm provides a flexible work schedule as long as the candidate is accessible, communicative, and completes work timely at a high level.

Professional Growth

Although not required nor expected, the candidate will have ample opportunity for personal and professional growth. The Compliance Associate or Manager may initially provide support to the Consultants with the goal of being client-facing and managing independently. Expectations for promotion include but are not limited to, obtaining a compliance credential (either CSCP or IAACP) and the ability to effectively communicate and consult with clients on rules and regulations, which are located across the United States.  

Salary and Benefits

$80,000+, depending on experience

Employer-sponsored benefits include:

• Health Insurance

• Short Term Disability

• 401K with a 3% match

• Monthly cellphone/internet reimbursement $130

• 15 days of paid time off (combined vacation and sick time) during the first year of employment; potential for unlimited paid time off thereafter.

Company Information

Headquartered in Medford, Oregon, SEC Compliance Solutions helps new investment advisers, established RIAs, and private fund advisers nationwide streamline their compliance. We have three primary services:

1. We help new advisers start their businesses such that they are compliant with SEC rules and regulations from the beginning.

2. For existing advisers, we conduct Mock SEC examinations to help identify and remedy areas of weakness in advisers’ compliance programs before the SEC does to help them uphold their fiduciary duty, mitigate deficiencies, and avoid enforcement actions.

3. Our clients are required to conduct an annual compliance review pursuant to Rule 206(4)-7 of the Investment Advisers Act of 1940, and we help advisers plan, conduct, and document their annual compliance review in accordance with SEC regulations and industry best practice.

Our firm’s philosophy is to put our colleagues first, and second to lead with the concept of “how can we help simplify our clients’ workload, provide practical advice, and ease their concerns?” It is important that the candidate joining the team employ this same philosophy and passion to build strong relationships with each other and our clients. Our culture is based on being our authentic selves, maintaining open, honest communication, supporting each other, working hard, and having fun.

Contact

If you have any questions or are interested in this role, please submit your cover letter and resume to info@seccsllc.com. All inquiries will be held in the strictest confidence.