18940 N. Pima Road Suite 100 Scottsdale, Arizona 85255
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
- 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.