COMPLIANCE ASSOCIATE

SignatureFD is a leading privately held financial design and advisory firm based in Atlanta, Georgia. With over $5 billion in assets for 1,500 client families, we serve high-net-worth individuals, families and related entities. We believe that people are motivated to have a bigger impact with their wealth. We help clients simplify their financial lives, make better decisions and bring focus so that they can maximize their time, money, relationships and ultimately, their impact.

Responsibilities include:

  • Review marketing/advertising submissions to comply with SEC Rule 206-(4)-1 and maintain Advertising review files as required.
  • Provide direction to employees for adherence to the firm’s Code of Ethics, including reviewing Personal Securities Transactions and meeting recordkeeping requirements.
  • Email, Social-Media, etc. review
  • Code of Ethics documentation
  • Support the CCO with all compliance functions
  • Responsible for reporting to CCO and/or senior management, including any potential or perceived violations of applicable laws, rules or Firm policies

Position Requirements:

  • Experience with the Investment Advisors Act and other Securities Laws
  • Possess the ability to identify potential compliance, conduct and reputational risks, and present practical solutions to address and/or mitigate such risks
  • Strong organizational skills with an attention to detail
  • Strong analytical and critical thinking skills
  • Excellent verbal and written communication skills
  • Excellent relationship-building skills, with the ability to work collaboratively with internal and external parties
  • Bachelor’s Degree in Business or Finance preferred
  • 3-5 years of RIA Compliance experience a plus

At SignatureFD, we take great pride in our unique corporate culture and are always looking to build on it by adding experts from across the wealth management disciplines. If you are an energetic, innovative team player, committed to using your expertise to create a positive impact on the lives of others; if you are a positive individual who thrives on both the team collaborative-thinking process and the responsibility of autonomous self-driven project work; if you are passionate about the principles behind financial design and are looking to join a world-class team of like-minded individuals, then SignatureFD may be the place for you.

Please submit resumes (with cover letter) to Katie Amy at katie.amy@signaturefd.com