Compliance Officer

The Compliance Officer 1 serves as an entry-level compliance professional supporting Registered Investment Adviser (RIA) and financial services clients. This role is responsible for executing routine compliance tasks, maintaining regulatory records, conducting basic compliance testing, assisting with client requests, and supporting attorneys and senior compliance professionals in the delivery of outsourced compliance services. The ideal candidate is highly organized, detail-oriented, capable of managing multiple deadlines, and interested in developing expertise in securities regulation, investment adviser compliance, and regulatory risk management. Compliance Administration Maintain client compliance calendars and task management systems. Monitor assigned compliance tasks and follow up on outstanding items. Assist with regulatory filing preparation and data gathering. Update client records within compliance management systems. Track completion of required compliance reviews and testing. Maintain accurate compliance documentation and workpapers. Compliance Testing and Monitoring Perform routine compliance testing in accordance with established testing procedures. Review client records and documentation for completeness. Conduct basic advertising and marketing material reviews using established checklists. Assist with email review and electronic communications monitoring. Review employee compliance certifications and disclosures. Document testing results and escape exceptions to senior team members. Client Service and Support Respond to routine client compliance inquiries. Schedule client meetings and compliance reviews. Request and collect documents needed for compliance projects. Assist clients with compliance software and workflow questions. Prepare meeting agendas and follow-up action items. Regulatory Recordkeeping Organize and maintain required books and records. Verify regulatory documents are properly retained. Assist with document retention reviews. Maintain testing workpapers and compliance files. Support annual compliance review documentation. Technology and Systems Utilize compliance management platforms and document management systems. Maintain accurate information within firm databases. Assist with system audits and data verification. Generate routine compliance reports. Required Qualifications Bachelor's degree or equivalent professional experience. Strong organizational and administrative skills. Excellent written and verbal communication abilities. Strong attention to detail and accuracy. Ability to manage multiple projects and deadlines. Proficiency with Microsoft Office Suite and cloud-based software applications. Ability to handle confidential information professionally. Preferred Qualifications Experience in financial services, compliance, legal, or regulatory environments. Familiarity with Registered Investment Advisers (RIAs), broker-dealers, or investment management firms. Experience with compliance software platforms. Knowledge of SEC or state securities regulations. Core Competencies Compliance task management Regulatory recordkeeping Documentation and workpaper preparation Compliance testing execution Data collection and analysis Compliance software proficiency Professional Competencies Attention to detail Time management Organization Client service Professional communication Problem solving Accountability Reporting Structure Reports To: Senior Compliance Officer Compliance Attorney Managing Attorney Works Closely With: Compliance Officer 2 Senior Compliance Officers Compliance Attorneys Client executive teams and compliance personnel Performance Expectations A successful Compliance Officer 1 will: Complete assigned compliance tasks accurately and on time. Maintain organized and complete workpapers. Follow established testing procedures consistently. Communicate professionally with clients and team members. Escalate issues appropriately. Demonstrate continuous growth in regulatory knowledge and compliance expertise. Progress toward handling increasingly complex compliance responsibilities. Career Progression The Compliance Officer 1 role is designed as the foundational level within the compliance department. Successful performance and demonstrated competency may lead to advancement into the Compliance Officer 2 role, where responsibilities expand to include more complex testing, client management, and compliance oversight activities. #J-18808-Ljbffr