Senior Compliance Officer
Job Description Overview
Key Bridge Compliance (Key Bridge/KBC) is seeking a Senior Compliance Officer to join our growing team of highly motivated and driven compliance professionals. Key Bridge provides outsourced CCO and compliance services to Registered Investment Advisers. The Senior Compliance Officer will be responsible for working with Chief Compliance Officers to implement, administer, and oversee compliance programs of our clients, as required by Rule 206(4)-7 of the Investment Advisers Act of 1940. The Senior Compliance Officer will work with various clients completing tasks as required by each CCO or compliance program including, but not limited to; Email Review, Advertising and Social Media Reviews, portfolio suitability testing, risk assessments, and delivering training. The ability to work independently and, as part of a team, to handle multiple projects and clients simultaneously is essential.
During the COVID-19 Pandemic, the position will be remote. However, when we do return to the office, the position will be in either our Washington, D.C. office or our Cincinnati, OH office.
Required Skills and Background
The successful candidate has:
- Bachelor’s Degree or equivalent
- 2-5 years of experience in Financial Services, specifically working with Registered Investment Advisers or Broker-Dealers.
- Strong organizational and problem solving skills coupled with your attention to the details and situational nuances of situations
- Familiarity with Regulatory Filings. Specifically, Section 13 Filings, Form ADV etc.
- Ability to handle multiple and competing projects and deadlines
- Strong Customer Service and Relationship Management skills
- Knowledge of basic Microsoft Office applications (Excel, Word, Access etc.)
About Key Bridge Compliance
Key Bridge Compliance has a singular focus to service and address the regulatory compliance needs of the RIA community by offering a suite of outsourced compliance solutions tailored to meet each client’s unique requirements. Key Bridge was started in response to the growing demand for outsourced compliance services in the RIA community.
- $70,000 – $85,000 base salary
- Discretionary bonus, dependent on employee and Firm success
- Medical, dental, and vision insurance; dependents eligible
- 401(k) retirement plan with company match
Job Type: Full-time
To apply, please complete an application here.