RIA Compliance & Operations Manager

  • TBD
  • Olympia, WA, États-Unis Olympia WA US
  • CDI, Plein-temps
  • Financial Advocates
  • 17 mai 18 2018-05-17

PORTLAND, OR or OLYMPIA, WA. The RIA Compliance and Operations Manager plays an integral part in the firm’s efforts to maintain compliance with applicable federal and state regulatory requirements across various aspects of its business operations. The RIA Compliance and Operations Manager will assist the Chief Compliance Officer in the day-to-day administration of the firm’s investment adviser compliance program. The role will also support other operational functions of the firm.

Financial Advocates, Inc.

Job Title: RIA Compliance & Operations Manager

Reports To: RIA Chief Compliance Officer

Location: Olympia, WA or Portland, OR

Financial Advocates serves as a financial advisor’s primary ally through the transition, growth, and ongoing management of an independent practice. Since 1996, we have been providing advice and support to advisors working independently and within financial institutions—people dedicated to their professions and to meeting the needs of their clients.

Essential Duties and Responsibilities:

The primary responsibilities of this role include, but are not limited to, the following:

Assist the CCO in the administration of the compliance program

Participate in the annual review of compliance policies and procedures

Create, update and implement written compliance policies and procedures

Review and approve marketing material

Provide training and guidance to employees and investment adviser representatives

Assist in the maintenance of Form ADV and other regulatory reports and documents

Conduct periodic office inspections, surveillance, reviews and other testing activities

Assist in the development and delivery of the annual compliance meeting

Assist in responding to inquiries and examinations by regulatory agencies

Review of systems to detect potential regulatory breaches and manipulation

Research, and maintain current knowledge of, applicable laws, regulations and rules

Support other operational functions of the firm, including, but not limited to, quarterly billing, adviser transitions, due diligence of third party service providers, liaise with custodians, etc.

Other responsibilities and projects as assigned

Qualifications & Competencies:

Strong understanding of the Investment Advisers Act of 1940 and related regulations

Client service mentality and professional demeanor

Results-oriented approach to work

Strong interpersonal skills with ability to establish rapport and trust

Excellent verbal and written communication skills

Detailed-oriented with strong decision-making and analytical skills

Ability to exercise balanced, thoughtful judgement

Advanced organizational skills and ability to manage multiple projects simultaneously

Ability to travel occasionally to conduct office inspections

Education and/or Experience:

Approximately 4-6 years of compliance experience with an SEC registered investment adviser

Bachelor degree

Series 65 or 66


Please be aware that we will initially be responding to your submission by email, so please watch for an email from financialadvocates dot com. We look forward to hearing from you!