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Compliance Specialist

Company: Krilogy
Location: Saint Louis
Posted on: January 15, 2022

Job Description:

About the role:

The Compliance Specialist would assist the Counsel and Chief Compliance Officer in managing the written compliance programs as necessary to fully meet all requirements under the Investment Company Act and Rule 206(4)-7 of the Investment Advisers Act, including oversight and/or monitoring of certain compliance with allocation of investment opportunities, disclosure controls functions, oversight of personal securities trading and political contributions of investment advisor personnel, record retention, email surveillance, evaluation of the business continuity and information security programs. -Perform various testing procedures with a view to identifying potential compliance problems. Assist the CCO with monitoring changes in SEC regulation and best business practices, and make changes as necessary to stay current with such changes. - -Assist the Counsel with various legal and regulatory projects that arise.

Essential Activities and Responsibilities:

Compliance oversight of advisor representative activities
Assist in training of home office staff and advisor representatives
Assist in mentoring and oversight of supervisors and branch managers
Supervision of and archiving emails and social media
Assist in Customer complaint investigation and reporting
Heightened supervision of advisor representatives
Perform branch office inspections
Assist in creation and performance of supervisory controls testing and verification
Assist the Counsel & CCO in maintenance and update of the firm's risk matrix and other legal and regulatory projects
Participate in the process of reviewing and updating the advisor registration
Attend professional and/or industry meetings, seminars and continued education programs
Light travel required


Strong working knowledge of SEC regulations required
Knowledge of FINRA regulations a plus
Minimum three years' Compliance experience in securities industry strongly desired
Series 65 or equivalent license or the ability to obtain within 6 months of hire required
Proficiency with Microsoft Word, Excel, PowerPoint and Outlook
Good written and verbal communication skills
Knowledge of the structure and content of the English language
Detail-oriented, accurate, and organized
Able to multitask and prioritize a variety of activities
Team player, collaborative, able to work with all levels of the firm
Strong leadership and interpersonal skills
Able to work independently, exercise good judgment and take initiative

Salary and Benefits:
Salary is competitive based on industry standards
Benefits offered include dental, vision, health care, life & disability coverage, 401(k)

Keywords: Krilogy, St. Louis , Compliance Specialist, Other , Saint Louis, Missouri

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