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RIA Compliance Officer

Company: Protective Life Corporation
Location: Birmingham
Posted on: December 5, 2019

Job Description:

Education - Bachelor's Degree Skills - FINRA License The RIA Compliance Officer part of the ProEquities Compliance Department's RIA team with responsibility for understanding and advising of the securities industry, compliance rules and regulations, product suitability, and firm policies and procedures. Essential Job Duties & Responsibilities Develop and maintain surveillance programs related to market conduct and trading issues. Investigate potential policy violations by associated persons and recommend appropriate level of action where violations are noted Provide direction and guidance to business associates on investment advisory compliance issues, including fiduciary responsibility, advisory regulation, and permissible activities under firm policy and the Investment Advisers Act of 1940 Maintain Form ADV Parts 1 and 2 including advisory and wrap fee brochures. Prepare annual amendment and interim ADV updates and filings. Oversee ADV Part 2B procedures, delivery, and maintenance of advisor bios Develop, write or update Policies and Procedures, Code of Ethics and overall compliance program. Identify, assess and effectively communicate new or changing regulatory issues and market trends Collaborate with the investment management team regarding new business, marketing, operations, and technology to create and refine policies and procedures in areas such as best execution, class analysis, wrap fee programs, due diligence, performance reporting, and advertising Lead other compliance projects as requested. Qualifications: Bachelor's degree and minimum of three years related industry experience Broad knowledge of securities products, investment advisory services and arrangements, and related regulatory requirements Familiarity with hybrid RIAs Understanding of fiduciary responsibilities and appropriate disclosure of conflicts of interest. Ability to identify issues, think proactively, and begin resolving them without waiting to be told to do so Ability to operate with minimal supervision if the circumstances dictate along with the ability to keep supervisor informed of your projects and workload Series 7 required Series 24 or 65/66 within six (6) months of hire.

Keywords: Protective Life Corporation, Birmingham , RIA Compliance Officer, Other , Birmingham, Alabama

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