Compliance Officer

Scottsdale, Arizona 85255

Job ID: 19937 Job Category: Accounting & Finance

Compliance Officer needed for expanding company' s Arizona office. Compliance Officer’ s primary responsibility is to assist in the implementation and ongoing oversight of compliance program required by Rule 206(4)-7 of the Investment Advisers Act of 1940. 
  • Decision making
  • Ability to work independently
  • Attentive to details
  • Ability to identify problems and solutions
  • Communication skills

Preferred Requirements:
  • Bachelor’ s Degree or equivalent
  • 3+ years of compliance experience, preferably with strong experience reviewing firm-created advertising materials for a federally registered investment adviser.  Similar experience with FINRA-related materials would also be acceptable.
  • Familiarity with the Investment Advisers Act of 1940 and other securities regulations, including some knowledge of regulatory filings.
  • Regulatory examination experience strongly preferred.

80-100K DOE

Kendall Jerina

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