The Compliance Associate will be responsible for assisting with the execution of the Firm’s RIA Compliance Program which includes but is not limited to ongoing administration, new policy formulation, risk assessment, testing and regulatory filings.
- Work with the Chief Compliance Officer and Chief Operating Officer supporting the ongoing regulatory work of the firm.
- Provide departments compliance guidance: Advisory, Operations, Portfolio Management, Marketing.
- Help supervise the management of the firm’s Code of Ethics
- Monitor compliance with laws, rules, and regulations
- Assist with the development & management of Bogart Wealth’s Compliance Program
- Coordinate and help oversee the development, implementation and enforcement of policies, procedures, and programs to minimize risk
- Assist with regulatory filings and amendments (Annual and Other than Annual Amendments) to Form ADV, Form 13F and Form 13H
- Prepare for and respond to regulatory inquiries, examinations, internal and external audits
- Educate Bogart Wealth’s employees on up-to-date changes in federal and state compliance laws and regulations as necessary
- Interpret and incorporate any new pertinent securities regulations in a timely manner
- Assist with the supervision of staff across in Virginia and Texas
- Research and resolve issues, provide recommendations, and escalate to senior management as needed
- All other duties as assigned
- Bachelor’s degree, with a concentration in Business, Accounting, Finance, or other related discipline is preferred
- Five+ years of relevant work experience with a financial institution such as a broker/dealer, registered investment adviser, regulatory agency, or other financial institution
- FINRA Series 65 required or achieved within 6 months
- Prior experience with the Investment Advisers Act of 1940
- Excellent project and time management skills with the ability to handle multiple priorities, meet deadlines and develop process efficiencies where required
- Strong written and verbal communication, including the ability to communicate both up and down the management chain and to adapt your style depending on the audience and subject matter
- Competitive compensation
- Company Paid Health benefits (medical, dental, vision, etc.)
- A bonus program based on individual performance and company success
- A 401(k) retirement plan with company match