ASSOCIATE DIRECTOR, COMPLIANCE

Cresset Capital•Denver, CO

4d•Onsite

About The Position

The Associate Director, Compliance, will support ongoing compliance efforts, focusing primarily on compliance monitoring and testing. Additionally, this role involves conducting branch exams, employee training, and performing other general compliance duties to meet regulatory requirements. This is a great opportunity for a person with experience at an RIA, securities regulator, or other related financial institution. The Candidate should be a proactive, resourceful, self-starter with a roll-up-your-sleeves mentality, who is extremely organized, detail-oriented, and precise, while remaining flexible to changing priorities.

Requirements

College graduate
Proficiency in SEC regulations, including the Advisors Act.
5+ years’ experience in financial services or with a regulatory organization
2+ years’ experience with a registered investment advisor or broker-dealer in a compliance role.
Excellent analytical, problem-solving, and communication skills.
Strong written, verbal and listening skills
Exceptional organization and planning skills with ability to multi-task
Attention to detail and follow-through
Versatile, flexible, and a willingness to work with changing priorities
Proficiency with Microsoft Office Suite (Word, Excel, and PowerPoint, and Outlook)

Nice To Haves

Experience using Charles River or other OMS for compliance monitoring and reporting a plus.
Experience with data visualization tools (e.g., Tableau, Power BI) preferred.

Responsibilities

Conduct compliance testing and branch exams to ensure adherence to firm policies, the Investment Advisers Act of 1940, SEC guidelines, and industry regulations.
Monitor supervised/access persons activities, trading activities and transactions to identify potential compliance issues and anomalies.
Create and maintain dashboards and reports to track compliance metrics.
Assist in the automation of data collection and reporting processes to improve efficiency and accuracy.
Present compliance monitoring and testing observations to senior management, ensuring that key insights and recommendations are effectively communicated to support strategic decision-making.
Collaborate with compliance officers to develop data-driven insights and recommendations.
Assist in developing, implementing, and maintaining compliance training for the firm.
Be an integral part of the compliance team, assisting with various aspects of compliance programs, including risk assessments, policy and procedure development, Annual Review, regulatory filings, and the ADV.
Perform or assist with special projects.