Senior Compliance Specialist
About The Position
Sequoia Financial Group is a growing Registered Investment Advisor (RIA), headquartered in Northeast Ohio, offering financial planning and wealth management services. At Sequoia, we exist with a singular purpose: to enrich lives. Our values define how we behave and guide us through the pursuit of our purpose to enrich lives. At Sequoia, our core values are: Integrity. We act in the best interests of others by providing an honest, consistent experience for our clients and team. Passion. We pursue our full potential, seeking to continually enhance and evolve our ability to serve our clients and team. Teamwork. We subordinate our egos to work together for the benefit of our clients. Our promise to team members is that you will grow with us. From experienced advisors to new college grads to transitioning principals, every team member will find Sequoia a place to refine their professional mission, move into new opportunities, go deeper, and lead further. We are built to help you build a career here as a long-term contributor in our work to enrich lives for generations. As a Senior Compliance Specialist, you will be involved with the continued development and enhancement of the organization’s RIA Compliance program to ensure adherence to regulatory requirements, as well as fostering a culture of compliance within the organization. The right candidate will be detail oriented, hold themselves to a high standard of accountability and take pride in representing compliance for the organization. Further experience will include comfort in establishing an influence model to gain trust and enroll managers in emerging aspects of the compliance program; comfortable holding peers and senior managers accountable; and acting with delegated authority of the CCO. This position provides opportunity for growth.
Requirements
- Strong understanding of securities regulation under the Investment Advisors Act of 1940.
- 10+ years' experience in a compliance role.
- Experience working in an investment advisory firm
- Experience with cross department development initiatives.
- Attention to detail and thoroughness
- Strong communication, influence and change program skills
- Ability to travel for branch exams (once per quarter on average)
Nice To Haves
- Experience with conducting regulatory examinations, or financial services audits.Matt Dunn [https://sequoiafinancial.quip.com/KEbAEA5e1RU] Is this required or preferred? Can you give me more color?
- Prior roles with SEC, FINRA, or State regulatory authorities.
- Strong understanding of trading and related compliance topics (best execution, DVP, Insider Trading reviews)
- Exposure to aspects of the merger and acquisition process
Responsibilities
- Assist the Chief Compliance Officer with the ongoing development and implementation of the organization’s compliance program
- Define and execute accountability models within key departments to monitor and ensure compliance to policy and regulation
- Complete testing and review in support of the organization’s compliance program.
- Represent compliance in various firm initiatives and program developments.
- Implement corrections and or changes to policies and procedures as needed.
- Review internal and external requests requiring compliance approval.
- Design and implement new policies and procedures as needed.
- Provide input and review for process improvements and associated primary and secondary controls.
- Other responsibilities as discussed with CCO
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
No Education Listed
