Job Description

What you will be doing:

• Provide leadership and vision to the Compliance function of the firm.
  
• Design, implement, and oversee the organization's compliance program.
  
• Ensure adherence to all applicable laws, regulations, and internal policies across all business functions.
  
• Monitor activities, conduct audits, and investigate potential violations to mitigate legal and reputational risks.
  
• Act as the guardian of ethical business practices within the company.
  
• Liaison and be the first point of contact with Broker Dealer in ongoing management of the firm compliance function.
  
• Manage the Mainspring Compliance Team to ensure timely completion of annual reviews of registered and non-registered meeting locations.
  
• Oversee daily, weekly, monthly, and annual testing to detect regulatory violations and ensure compliance with regulations and firm policies.
  
• Manage regulatory filings and advise on regulatory issues in conjunction with Broker Dealer.
  
• Develop training materials and educate employees about regulatory and legal requirements.
  
• Review and approve marketing materials, including fund-related materials and presentations.
  
• Assist with the preparation and submission of regulatory filings with third-party consultants.
  
• Provide support and input to Broker Dealer in the development and maintenance of internal legal and compliance systems.
  
• Manage the drafting, updating, and revising of the firm’s compliance policies and procedures.
  
• Work with Broker Dealer to manage the dissemination of compliance reports and training materials relating to the Investment Advisers Act of 1940.
  
• Collaborate with leadership on the preparation and submission of regulatory filings required by regulatory authorities.
  
• Manage compliance of the firm’s Code of Ethics and regulatory compliance programs.
  
• Support the overall team in implementing best practices for compliance with internal controls.
  
• Monitor and alert management on current regulatory issues, risks, and deadlines.
  
• Evaluate and implement the latest technology solutions for compliance-related surveillance.
  
• Communicate proactively with supervisors, registered representatives, and investment advisory representatives.
  
• Manage regulatory exams, inquiries, responses, and investigations with federal and state regulators.
  
• Ensure compliance with the annual calendar for regulatory deadlines, filings, audits, and internal reviews.
  
• Manage the Firm's FINRA Gateway filings, including Form BD, U4s, U5s, and state registrations.
  
• Collaborate and review Written Supervisory Procedures and guidance for registered representatives and personnel.
  
• Improve the efficiency of the Firm's supervisory system.
  
• Conduct risk assessments and internal reviews of the Firm's activities and test the effectiveness of policies and procedures.
  

Experience you will need:

• FINRA registration including Series 7, Series 66, Series 9, and 10, and required insurance licenses.
  
• State regulatory knowledge and experience.
  
• Self-starter with strong organizational skills and attention to detail.
  
• Strong persuasive and interpersonal skills.
  
• Problem solver and goal-oriented team player with a 'no job is beneath me' mentality.
  
• Ability to work independently.
  

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