Compliance Officer
Blacklock Group
I’m working with an Investment Firm in Arizona that is looking to add a Compliance Officer to its growing team. This is a hands-on role reporting directly into the CCO, with exposure across the firm’s wealth management and investment activities. The role will cover: Compliance monitoring, testing and surveillance Investment Advisers Act / SEC regulatory requirements Alternative investments and private/pooled investment vehicles Client and investment management agreements Code of Ethics administration Third-party sub-adviser & vendor oversight Electronic communications and social media review Policies, procedures and supervisory controls Supporting SEC examinations and the annual 206(4)-7 compliance review Ideal background: Senior compliance experience within an RIA / investment adviser Comfortable working closely with investment and operational teams Strong attention to detail and ability to operate independently #J-18808-Ljbffr
Vacancy posted 3 days ago
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