RFG Advisory

ties:   
- Assisting the CCO to help ensure the firm and its supervised persons comply with applicable provisions and obligations of the Investment Advisers Act of 1940 
- Assist the OSJ in supervision of registered representatives who may also be dual Advisors 
- Assist in preparing, monitoring, maintaining, and filing applicable SEC registrations filings, including Form ADV, 13F, 13G, 13H, etc. 
- Reviewing and continually improving the firm’s policies, manuals, code of ethics and other procedures, consistent with the principles of best practices and efficient field operations 
- Reviewing and suggesting improvements to the reporting tools, processes and technologies to properly provide the necessary oversight to the firm’s advisory business 
- Performing robust surveillance via various tools to identify potential issues and proactively rectify the matters to prevent problems 
- Interacting and responding to the SEC and state regulators as needed 
- Conducting research, drafting written memoranda and presenting on findings 
- Training financial professionals on the firm’s advisory business; the different platforms available, technology, and rules and regulations 
- Review a wide variety of submitted marketing materials on behalf of the firm and its Advisors and provide a timely and precise response, including reasons for requested changes and suggestions where necessary. Follow-up through final admission and approval. 
- Provide guidance to the firm, its employees, and Independent Advisors on communications content across multiple delivery channels: including but not limited to website, social media and print materials. 
- Apply thorough review of content to ensure adherence to compliance regulations (Investment Advisers Act, Investment Company Act, SEC and FINRA regulations, etc.) 
- Facilitate the training of new team members, Advisors and their staff on marketing submission policies as well as regulatory and business standards. 
- File all approved marketing materials to cloud-based secure storage solution. 
- Interact with RFG Advisory’s broker dealer PCS.

Qualifications: 
- Strong familiarity with the rules and obligations of Investment Advisers Act of 1940 and FINRA rules and regulations 
- A Series 7 General Securities License and Series 24 or 9/10 as well as the Series 65 or 66 Investment Adviser License are required 
- A minimum of 5 years investment advisory/compliance experience 
- Ability to work collaboratively in a small-team environment as well as independently 
- Excellent verbal and written communications skills 
- Service-oriented with the ability to not only understand Advisor issues, but empathize with them and seek logical, equitable, and compliant solutions. 
- Ability to “think outside the box” and develop strategic, creative, and nuanced solutions

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Director of Compliance

Birmingham, Closed

Posted: 1094 days ago

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Job Details

Job Code

RAWV004

Job Level

VP/Director/Sr. Manager

Employment Type

Full-Time - Salary

Career Field(s)

Finance

Industry

Accounting and Finance, Data and Information Systems, Information Technology, Insurance

Industry Experience

REQUIRED

5+ year(s) Accounting and Finance

Licenses

REQUIRED

FINRA Series 7, FINRA Series 24

PREFERRED

FINRA Series 65, FINRA Series 66