Compliance Administrator

Job Purpose:

Maintains quality compliance by identifying regulatory requirements (SEC & FINRA); disseminating standards, policies, and procedures; conducting audits; recommending improvement plans.



Duties:

* Identifies quality requirements by reviewing regulations, guidelines, and standards, including specific client requirements, (Mutual Fund, DOL, ERISA and Institutions).  Identifies and implements all requirements as related to RIA Sales and Marketing programs and materials, to include data base management and GIPS certification. 



* Communicates quality goals and requirements by preparing and disseminating standards, metrics, standard operating procedure (SOP) management, risk management and marketing brochures & records guidelines.



* Assesses quality compliance by conducting audits; analyzing and verifying documentation; reviewing process changes.



* Improves quality compliance by recommending and following-up on improvement plans; writing training courses; contributing information to cross-functional quality improvement teams.



* Prepares quality assurance reports by collecting, analyzing, and summarizing data and trends.



* Protects organization's competitiveness by keeping information confidential.



* Updates job knowledge by reviewing changes in best practices (GMP), and regulatory requirements; participating in educational opportunities; reading professional publications.



* Enhances department and organization reputation by accepting ownership for accomplishing new and different requests; exploring opportunities to add value to job accomplishments. Cross Functional - reports to Compliance Officer. 



Skills/Qualifications:

Quality Management, Documentation Skills, Reporting Skills, Analyzing Information, Problem Solving, Process Improvement, Verbal Communication, Written Communication, Informing Others, Attention to Detail, Team Player in Small Business Environment. Experience in Mutual Fund Company or RIA Compliance a plus.