Fractional Compliance Manager (Advisor Network)
Overview
Fractional Compliance Manager (Advisor Network) leads compliance consulting for Arootah's Alternative Asset Firm and Family Office clients. Own advice and guidance to develop actionable compliance strategies. Scale impact across multiple engagements. Differentiate by delivering tailored programs aligned with regulatory expectations.
What You'll Do11
- 1Provide advice and guidance to develop realistic compliance action plans
- 2Identify roadblocks and break goals into actionable steps
- 3Implement policies and evaluate progress using KPIs
- 4Maintain detailed consulting records
- 5Develop Group Risk & Compliance program and strategy
- 6Assist staff with regulatory matters in business development
- 7Create and maintain Form ADV and regulatory filings
- 8Ensure insider trading and material nonpublic information controls
- 9Facilitate annual compliance testing and risk assessments
- 10Collaborate with management to remediate audit findings
- 11Guide internal groups on client fee billing processes
Requirements11
- 15+ years compliance experience with broker/dealer regulations
- 23-5 seasons in compliance leadership roles
- 3Certified Compliance & Ethics Professional (CCEP) or Certified Internal Auditor
- 4Bachelor’s Degree in Law Finance Business Administration or related field
- 5Minimum 15 years alternatives-specific recruiting experience
- 6Proven track record with SEC exams and audits
- 7Expertise in NFA/CFTC commodity pools and FINRA rules
- 8Ability to work independently with ambiguous situations
- 9Strong analytical and proactive communication skills
- 10Experience with Code of Ethics development and implementation
- 11Familiarity with investment adviser acts and related regulations
Salary Insight
Salary not disclosed in listing
Location
Required Skills
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