Job Description

Position Purpose:

The Compliance Officer, Investment Advisor Services reports to the Chief Compliance Officer (CCO) and is responsible for supporting the overall compliance initiatives at the company’s registered investment advisor (RIA), SA Stone Investment Advisors Inc. (SASIA). The role of the Compliance Officer is to perform review and internal controls test functions, provide compliance support (clarify policy, process, rules, etc.) as well as to be a resource for general compliance related matters.

Primary Accountabilities/Responsibilities: 

Provide general assistance/support related to RIA Code of Ethics (COE) and Written Supervisory Policies (WSP).
Coordinate required annual 206(4)-7 review of WSPs, including assistance in reviewing, drafting, editing policies.
Perform certain daily/weekly/monthly routines that support the advisory compliance efforts and functions.
Review systems (Envestnet, Beta, ProSurv, etc.), reports, rules, and other reports to ensure Compliance and related Supervision efforts are supported or addressed.
Monitor/review Supervision with respect to advisory programs, ensuring accounts are not in violation of established Investment Policy (IP) Rules.
Coordinate annual/quarterly RIA COE Reporting, including: Quarterly Transaction Reports, Annual Holdings Reports.
Onboard FAs as Supervised Persons, and/or Access Persons (AP). Maintain AP databases and related folders. Create or update (as needed) FA’s Form ADV 2Bs
Review and approval of marketing materials and internal communications (related to advisory products/services and/or advisory compliance), as necessary to assist Supervision.
Support responses to regulatory requests as necessary (research, reports, etc.).
Maintain prompt and regular attendance
Participate iin other firm projects on behalf of the Compliance Department as may be assigned by management

Job Requirements:

Bachelor’s degree preferred.
5-8 years previous related industry experience. Compliance experience preferred.
FINRA Series 7, 65 or 66 preferred.
Strong knowledge of the investment advisory business, including basic custody and trading operations, systems and interfaces, account set up, billing and performance reporting.
Knowledgeable in the Investment Advisers Act of 1940, as well as rules promulgated pursuant to such act.
Ability to apply industry specific knowledge to situations and to assist in the development of appropriate procedures.
Strong analytical and problem-solving skills.
Strong communication skills, both written and verbal.
Competent technical skills, to include strong knowledge of MS Office products; Excel and Access a plus!
Strong time management skills and an ability to multi-task.
The ability to develop positive and productive relationships with business-line partners.
Ability to lead and direct others; delegate where appropriate and identify when escalation is necessary.
Must be authorized to work in the US for any employer

Physical requirements/Working conditions:

Climate controlled office environment
Minimal physical requirements other than occasional light lifting of boxed materials
Dynamic, time-sensitive environment
Travel as required (minimal).