Talent Acquisition Partner at Niyo Solutions
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Niyo - Compliance Officer - Registered Investment Advisor (5-15 yrs)
Compliance Officer - RIA
We are seeking an experienced Compliance Officer for RIA (Registered Investment Advisor) with a strong background in regulatory compliance related to investment advisory services within a financial. This is a mid-senior-level position that requires a deep understanding of financial regulations, industry standards, and investment practices. The ideal candidate should have a minimum of 5 years of relevant experience working with regulatory bodies such as SEBI, AMFI, IRDAI etc.
- Monitor and interpret relevant financial regulations, laws, and guidelines that impact investment advisory activities. Ensure that the firm's activities comply with these requirements.
- Stay up-to-date with relevant laws, regulations, and guidelines pertaining to the RIA industry, financial markets, risk management, and regulatory affairs.
- Develop and implement strategies to ensure compliance with applicable regulations and guidelines.
- Collaborate with legal and regulatory teams to respond to regulatory inquiries and conduct regulatory reporting as required.
Policy Development & Risk Management:
- Develop, implement, and maintain compliance policies and procedures specific to registered investment advising, and investment advisory services.
- Collaborate with legal and risk management teams to align compliance objectives.
- Identify, access, and mitigate potential compliance and regulatory risks associated with RIA.
- Develop risk management strategies and controls.
- Design, implement, and maintain effective compliance programs for RIA activities.
- Conduct regular compliance risk assessments to identify areas of potential vulnerability and recommend appropriate measures to mitigate risks.
- Develop and deliver compliance training programs to educate employees about regulatory compliance, risk management, and internal policies.
Regulatory Filings and Reporting:
- Ensure accurate and timely submission of required regulatory filings and reports related to investment advisory activities and RIA compliance.
- Coordinate and support internal and external audits related to investment advisory services, and RIA compliance.
Vendor and Third-Party Oversight:
- Evaluate compliance practices of external vendors, service providers, and third-party partners involved in investment advisory activities.
- Stay informed about evolving regulatory developments, industry trends, and best practices related to investment advising, and RIA compliance.
Qualifications and Skills:
- Bachelor's degree in finance, business, law, or a related field. Advanced degrees (e.g., MBA, JD) or relevant professional certifications (e.g., CFA, CCO) are often preferred.
- Extensive experience (typically 5+ years) in compliance roles within the financial services industry, with a strong focus on investment advisory, and RIA compliance.
- Comprehensive knowledge of relevant financial regulations, industry standards, and investment advisory rules.
- Strong analytical, problem-solving, and strategic thinking skills.
- Excellent communication, leadership, and team management abilities.
- Detail-oriented with a proactive approach to identifying and addressing compliance issues.
- Proficiency in compliance software, tools, and systems.
- Ability to navigate complex regulatory landscapes and provide strategic compliance guidance.