Job description
Responsibilities:
This position is responsible for researching, understanding and maintaining compliance with the Investment Advisers Act of 1940 and related SEC regulations and guidance, Department of Treasury regulations, Canadian securities regulations and industry best practices. The primary focus of this role will be applying compliance expertise and experience to a wide variety of issues relating to the continuous improvement and operation of NISA’s compliance program.
- Maintain, implement and improve all required compliance policies and procedures
- Adapt the compliance program as needed for new businesses and new products
- Conduct regular compliance testing and monitoring of the compliance program, including transactional, periodic and forensic testing
- Update and maintain the firm’s risk matrix, compliance testing calendar and other compliance program tools
- Support remediation efforts of compliance and reporting deficiencies and prepare written policies and procedures to address deficiencies
- Review promotional and marketing materials, pursuant to SEC and other applicable regulations
- Serve as a liaison between the firm and industry regulators regarding on-site examinations and ad-hoc inquiries
- Assist in the preparation of periodic compliance reviews, including personal securities, gifts and entertainment reports and annual attestations
- Conduct ongoing compliance training of employees and orientation of new hires
- Manage a team of compliance professionals and coordinate with team members
Qualifications:
- Bachelor’s degree with an emphasis in finance, statistics or similar field required
- Graduate degree or CFA designation preferred
- A minimum of 10 years’ prior work experience with an SEC registered investment advisor, compliance consulting firm or compliance audit firm
- Knowledge of U.S. regulatory requirements
- Working knowledge of ERISA necessary
- Working knowledge of Canadian securities regulations, unregistered funds and annuities preferred
- Proficiency with Word, Excel, and PowerPoint
- Experience managing a team of compliance professionals
- Strong analytical, critical thinking and decision-making skills
- Excellent verbal and written communication skills
- Exceptional attention to detail
- Demonstrated organizational skills with the ability to set, organize and meet deadlines and competing priorities
- Ability to work collaboratively with all levels within a company to promptly resolve issues or recommend improvements
- Ability to work independently
NISA Investment Advisors, LLC is an equal Opportunity Employer – minorities/females/veterans/individuals with disabilities/sexual orientation/gender identity.
