Johnson Brunetti Retirement & Investment Specialists

· 3-5 years of RIA Compliance experience (Retail Investment Advisor Experience) with relevant experience in advertising review compliance. · Strong working knowledge of the Investment Advisor’s Act of 1940. · Understanding of the RIA structure and business acumen. · Manage the email monitoring and archiving vendor relationship and be responsible for the archiving. · Perform audits and testing of the RIA’s policies and procedures.

compliance specialist

Financial Services Compliance Specialist Are you looking to grow and be part of a successful financial services team? Are you driven, self-motivated and client-focused while ensuring rules and regulations are followed? Our well-established and growing financial firm is expanding and seeking to add to our Compliance team. Minimum Requirements ·        Bachelor’s Degree in Business, Economics or Finance·        3-5 years of RIA Compliance experience (Retail Investment Advisor Experience) with relevant experience in advertising review compliance·        Experience in responding to SEC and State Regulatory inquiries is a plus·        Strong working knowledge of the Investment Advisor’s Act of 1940·        Understanding of the RIA structure and business acumen·        Strong organizational, prioritization, interpersonal & management skills·        Ability to work in a fast-paced, evolving environment with minimal supervision Position Responsibilities Work in conjunction with the Chief Compliance Officer to manage the day-to-day requirements of the Compliance team’s responsibilities including:·        Review Marketing/Advertising materials to ensure compliance with the SEC’s “New Marketing Rule”, Rule 206-(4)-1.· Manage the Code of Ethics, including providing direction to employees for adherence to the COE.·        Interact with Supervised Persons to provide direction for adherence to the Cybersecurity policy andIdentity Theft Prevention program including performing related audits and training.· Conduct regular due diligence, and receive regular updates of the IAR’s service providers, third-party money managers, and sub-advisors, including ensuring compliance with our Information Security and Privacy policies.·        Manage the email monitoring and archiving vendor relationship and be responsible for the archivingof electronic correspondence and social media platforms and the periodic review of e-mails and social media for adherence to applicable securities laws.·        Perform IAR registrations and updates, U4/U5 updates, Section 13 filings, state notice filingrequirements, and state insurance licensing requirements.·        Review and submit annual updates and amendments to the RIA’s Form ADV 1A, 2A and CRS.·        Document and analyze verbal and written complaints by reviewing details of client interactions and maintaining a Complaint spreadsheet and associated books and records.·        Perform audits and testing of the RIA’s policies and procedures.

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