Financial Advisory Compliance Manager

Lead with Purpose. Partner with the firms compliance program and promotes adherence to applicable Securities and Exchange Commission (SEC) requirements other regulatory obligations and the firms internal policies and procedures. Oversees regulatory examinations filings surveillance testing licensing and escalation activities; advises management on compliance risks and required corrective actions; and prepares clear accurate documentation and Youll Do:Leads and coordinates SEC regulatory examinations including preparing requested materials managing responses communicating with exam staff and tracking remediation items through reviews and submits required regulatory filings including Form ADV Part 1 Form ADV Part 2A Form ADV Part 2B Form CRS Form 13F and Form 13H as documents and oversees the resolution of trade errors in accordance with regulatory requirements and firm approves and monitors high-dollar transactions and third-party wire requests escalating exceptions or concerns as employee compliance with the firms Code of Ethics Compliance Manual and internal policies and procedures; escalates identified noncompliant activity in accordance with established and performs risk-based internal audits and compliance testing - including but not limited to rollovers client communications books and records client documentation advisory fees and billing and investment and documents the firms annual compliance review and risk assessment identifies control gaps and emerging risks and recommends enhancements or corrective Investment Adviser Representative licensing and registration matters including initial registrations amendments renewals and related regulatory insurance licensing carrier appointments renewals and continuing education requirements and monitors timely completion and and analyzes internal and external compliance information; prepares management reports; and coordinates data and documentation requests across departments and with external auditors or new and changing federal and state legal and regulatory requirements assesses their impact on the firm and advises management on necessary policy procedure training or operational compliance guidance to employees responds to questions and requests supports implementation of compliance policies and procedures that strengthen the firms compliance professional knowledge through continuing education regulatory updates and relevant industry You Bring:Strong knowledge of SEC-registered investment adviser regulations filings books and records examination practices and compliance to interpret regulations and implement practical policies procedures monitoring and corrective written and verbal communication skills with experience interacting with clients advisors regulators auditors management and organized detail-oriented and able to maintain discretion and sound judgment when handling confidential information and analytical problem-solving and process-improvement skills with sound judgment and the ability to prioritize time-sensitive self-directed and capable of managing multiple priorities in a fast-paced financial services to advanced computer certification (IACCP) team player with strong follow-through and : Salary range for new hires is generally $100000.00 - $13000.00 for Plymouth addition the role may be eligible for annual bonus.