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Director of Compliance

Company: Confidential
Location: Saint Louis
Posted on: November 19, 2021

Job Description:

**Please note that relocation fees will not be covered by the company.Genex Consulting is currently looking for a Director of Compliance to join their growing team in St Louis, MO 63122.About the Role:The Director of Compliance's primary focus will be keeping the overall business operations for TAP Consulting LLC dba Genex Consulting and Private Client Services, LLC (Broker-Dealer) in full compliance at all times. The Director of Compliance will also assist with some financial aspects of the overall firm initiatives, and work with the Owners / Firm Principals with executing the corporate vision and strategic plan.Job Responsibilities: (but are not limited to)Compliance:Audit lead and firm coordination (PCS & SEC)Places firm block trades daily from POD trade blottersCoordinates state, SEC, and NASD licensingMonitors timing of RIA advisory meetings and completes internal checklist to ensure client compliance guidelines are met (investment and suitability reviews)Liaison to Compliance Consultant & B/D Compliance Dept (PCS)Annual RIA AmendmentQuarterly RIA conference calls with Compliance ConsultantMarketing / Advertising / Social Media reviewsOutside Business Activity (OBA) updates for all K1, W2, and 1099 team members annuallyState registration monitoring and updates for all registered team membersManage CE requirements for all registered personnel & team membersU4 / U5 reviews and updates for all registered team membersADV Part 2A Firm brochure reviews and updatesADV Part 2B Supplement reviews and updatesAnnual RIA ADV client communication (email /regular mail)Complete, review, and submit any and all necessary Compliance documentation to PCS (examples include client event reimbursements, marketing / social media, account opening documentation).Coordinate Team Quarterly Security ReportsTeam Email ReviewMember of the Investment Committee and manages all committee updates/initiatives (i.e model changes, mutual fund swaps, etc.)Tamarac Expert (manages firm updates)Account Suitability ReviewUpdate WSP (Written Supervisory Procedures)Quarterly 13F FilingManage Client Required Notices (i.e Form CRS)Reg B Review/Form CRS review/updatesManage Monthly CorrespondenceGift Log ReviewComplaint File ReviewAsset Management Agreement UpdatesUpdate & Business Continuity PlanFINRA login/e-bill accountTrade Reviews & Best execution reviewAdvisory Fee Quarterly AuditService Provider List/Confidentiality/Business ContinuityMutual Fund Share Class ReviewCyber PolicyCompliance Training as NeededPCS Check Log NotificationGeneral oversight of advisors/principalsFinance Assistance:Create Annual Budget with Executive TeamManage Monthly GGOB Numbers (Principal Revenue & POD Expense Allocations)Firm Bill PayingMaintain QuickBooks (Track all revenue & record expenses)Liaison to CPA (Annual Tax Returns)Liaison to Banking Partners (annual document requests & LOC renewals)Monthly Reimbursement to Principals & AdvisorsManage Firm Billing (generate firm billing, allocate per POD, track accounts for cash, restrictions, etc.)Business Planning (create/update templates, consolidate PODs into one, and resource to firm)Manage Line of CreditManage Fee Billing Reserve Account for 1099 AdvisorsManage PCS Fees (E&O renewals, securities registrations, etc.)Education and Experience:Bachelors Degree in Finance or Financial Planning3-5 years of experience in the Financial Wealth Management IndustryCandidate should have great Analytic SkillsCompany Offers:Great salary with benefits (Medical, Dental, Vision, 401K, Paid time off & Paid holidays, Life Term Insurance and Long-Term Disabilities)Please submit your resume via the "-- -Apply now' buttonWe are an Equal Opportunity Employer!

Keywords: Confidential, St. Louis , Director of Compliance, Accounting, Auditing , Saint Louis, Missouri

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