Compliance Supervisor
Artivest is searching for a talented and motivated Compliance Supervisor to be part of our La Jolla-based Compliance Team. The successful candidate will coordinate Fund launches on our platform, coordinate regulatory filings, track corporate governance and assist with the supervision of the firm’s compliance policies and Code of Conduct. You will be an integral part of the compliance team, ensuring the ongoing compliance with all of the regulatory requirements under SEC, NFA and FINRA guidelines. The core competencies for this role include a proven track record of managing strict filing deadlines, maintenance for firm books and records, as well as leading new compliance initiatives and training staff.
Responsibilities
- Corporate Governance and Fund Maintenance
- Coordinate Fund launches with project team to ensure proper legal formation of entity, including obtaining Tax ID, CUSIP, and CA state registration. Ensure all required legal documents are on file
- Ensure offering documents are uploaded and available for new investors
- Coordinate with legal counsel for corporate filings (i.e: 8K, 10K, 10Q, etc)
- Monitor and coordinate Blue Sky Filings
- Evaluate and track portfolio compliance for Fund holdings within guidelines
- Review, complete and coordinate checklists and requests for documents from managers, broker, investors, and/or regulators
- Coordinate Board Materials for meetings
- Perform OFAC and ERISA reviews
- Complete quarterly and annual Fund reporting (Form PF, CPO-PQR, Section 13, ADV, etc)
- Maintain books and records as required by regulatory agencies
- Compliance Supervision
- Monitor and approve reporting in compliance system for personal trading, gifts & entertainment, political contributions and outside business activities
- Monitor the cybersecurity program and coordinate with IT for semi-annual testing and training modules.
- Coordinate and track quarterly certifications by staff
- Review of Marketing Materials
- Provide support to other members of compliance team as needed
Requirements
- Bachelor’s degree
- Minimum of 2+ years of compliance experience within the financial industry (preferably with a regulator, asset-management or broker-dealer firms)
- Ability to work independently and in a team
- Strong interpersonal and communication skills to facilitate effective communication and collaboration across all organizational levels
- Ability to thrive in a demanding and fluid environment with frequent changes in workflow and project priorities
- Strong analytical and project-management skills with the ability to identify issues and propose solutions
- Proficiency in MS Office and Adobe Applications (including Word, Excel, and Acrobat Professional)
Preferred
- Current Series 3, 7, 66 and/or 24 licenses or ability to be obtained soon after hire
- Paralegal experience or desire to learn about legal document drafting
This is a full-time position. Artivest offers a competitive salary and benefits, including: paid time-off, holiday pay, health insurance, dental insurance, 401K and company match. Artivest prides itself on its people. We are looking for entrepreneurial, motivated team members and are committed to providing an environment where our employees can excel.