Compliance Officer

Company: Symmetry Partners, LLC

General Information
US-CT-Glastonbury
N/A
Not Specified
Full-Time
Not Specified
Not Specified
False
False
Job Description

Compliance Officer

Symmetry Partners is a Securities & Exchange Commission registered investment advisory firm that offers portfolio management services to institutional investors (i.e. public plans, non-profits), retirement plans and the clients of registered financial advisors. Our portfolios are designed to temper market uncertainty through broad global diversification. Symmetry clients are not high-risk investors, but rather those whose primary concern is preserving their wealth and realizing growth in their portfolio, all the while minimizing volatility, costs, and tax consequences.

The following full time position is available in our Compliance Department

 

Job Description:


The Compliance Officer is responsible for researching, understanding and maintaining compliance with the Investment Advisers Act of 1940, Investment Company Act of 1940 and related SEC regulations and guidance, and industry best practices. The primary focus of this role will be applying compliance expertise and experience to a wide variety of issues relating to the continuous improvement and operation of Symmetry's compliance program. 

Responsibilities:

  • Assist in maintaining, implementing and improving all required compliance policies and procedures
  • Assist in adapting the compliance program as needed for new businesses and new products
  • Conduct regular compliance testing and monitoring of the compliance program, including transactional, periodic and forensic testing
  • Assist in updating and maintaining the firm’s risk matrix, compliance testing calendar and other compliance program tools
  • Support remediation efforts of compliance and reporting deficiencies and prepare written policies and procedures to address deficiencies
  • Review promotional and marketing materials, pursuant to SEC and other applicable regulations
  • Serve as one of liaisons between the firm and industry regulators regarding on-site examinations and ad-hoc inquiries
  • Assist in the preparation of periodic compliance reviews, including personal securities, gifts and entertainment reports and annual attestations
  • Conduct ongoing compliance training of employees and orientation of new hires
  • Work with a team of compliance professionals and coordinate with team members
  • Job Requirements

    Qualifications:

    • Bachelor’s degree with an emphasis in finance or similar field required
    • A minimum of 5 years’ prior work experience with an SEC registered investment advisor, compliance consulting firm or compliance audit firm
    • Knowledge of U.S. regulatory requirements
    • Working knowledge of ERISA necessary
    • Proficiency with Word, Excel, and PowerPoint
    • Experience working with a team of compliance professionals
    • Strong analytical, critical thinking and decision-making skills
    • Excellent verbal and written communication skills
    • Exceptional attention to detail
    • Demonstrated organizational skills with the ability to set, organize and meet deadlines and competing priorities
    • Ability to work collaboratively with all levels within a company to promptly resolve issues or recommend improvements
    • Ability to work independently

    Symmetry Partners offers competitive salaries and benefits that include Medical, Dental, Life Insurance, Short and Long Term Disability, 401k, Vision Plan, Medical and Dependent Care Flexible Spending Accounts, Paid Time Off, Employee Assistance Program and the opportunity to work in an exciting, fast paced environment.