Fiducient Advisors provides tailored and personalized investment consulting services to clients such as retirement plan sponsors, endowments and foundations, private clients, and financial institutions.
We operate with over 200 professionals nationwide, supporting our distinct purpose of helping clients prosper.
The Compliance Officer is responsible for assisting the Compliance Manager in ensuring the firm complies with applicable regulatory requirements.
The Compliance Officer also plays a vital role in collaborating with the Compliance Manager on initiatives that drive new efficiencies to deliver top-notch client service and reduction of risk.
This individual will serve as the primary day-to-day compliance partner to the firm's marketing team and management of the firm's code of ethics.
Responsibilities: Review the firm's marketing campaigns (presentations, market commentaries, RFP responses, marketing-related website content, and ad hoc marketing pieces) to ascertain compliance with all regulatory requirements.
Provide a timely and accurate response including regulatory basis for requested changes and recommend alternatives to ensure content is compliant.Work with business teams on implementing regulatory changes that impact marketingInterpret, advise, administer, and monitor the Firm's Code of Ethics for personal trading along with all required employee reporting requirementsAssist with electronic communication reviewsSupport Compliance Manager by conducting compliance testing on the firm's policies and proceduresAssist with the preparation and submission of regulatory filings and disclosure documentsProvide support for internal and external audits and examinationsConduct oversight and due diligence on critical vendorsAssist with trade error review and monitoringAssist with the revision of policies and proceduresAssist with annual and ad hoc compliance trainingPerforms other compliance duties as required by the Compliance Manager Required Education, Professional & Technical Experience Bachelor's degree and 3-8 years of investment advisory compliance experience requiredMinimum 3 years of experience conducting marketing reviews for an investment adviserStrong experience working with Institutional marketing in conducting compliance review of marketing materials requiredWorking knowledge of compliance systems for personal trading and marketing reviewsExperience with Investment Advisers Act of 1940, ERISA, and knowledge of SEC rules and regulations requiredProficiency in Microsoft Suite Essential Traits Thoughtful practitioner with the ability to establish rapport and build relationships.Exceptional communication in a public setting with notable writing and presentation skills.Adaptability when priorities shift and able to work independently.Sound judgment and problem-solving skills.Innovative, curious, and enthusiastic.Detail-oriented with a high level of accuracy and organization.Ability to cultivate and develop inclusive and equitable working relationships to support a sense of belonging.Passionate about working in an organization that values and promotes diversity, equity, inclusion, and anti-racism. Work Environment & Travel Requirements This role may have occasional travel for training and or business/events.This role offers a hybrid work model with three days in one of our professional office environments and two days remotely. Physical Job Expectations The physical job expectations described here are representative of those that must be met by an associate to successfully perform the essential functions of this job:
Must be able to remain in a stationary position for up to 8 hours.Constantly operate a computer and other office productivity machinery, such as a calculator, copy machine, and computer printer.The ability to communicate information and ideas so others will understand.
Must be able to exchange accurate information.The person in this position may at times need to move throughout the building to access different areas.Ability to move equipment weighing up to 25 pounds.Reasonable accommodations may be made to enable individuals with disabilities to perform their primary responsibilities. What We Offer (Summary Highlights)
A workplace that welcomes authenticity and practices acceptance for what makes each of us different.
We are committed to educating our team, growing as a firm, and taking intentional actions related to diversity, equity, belonging and inclusion.
We strive to be active participants of change in and outside our industry.
Paid Time Off Generous PTO with optional rolloverPersonal/Sick Time10 Holidays with additional half days off for specific holidays throughout the yearSummer PerksBereavement Time –inclusive time off for a loved one, unborn child, or pet.Employer Paid Parental, Personal and Family leaves.Professional Development Day for eligible exams Work Life Convenience Benefits Exclusive Wellness Benefit Programs from VirginPulse, Care.com, Torchlight, Real Appeal, Peloton and moreKindBody – Family & Fertility AssistanceWellness Reimbursement ProgramProfessional Development Designation reimbursementEmployee Referral ProgramEmployee Resource Groups, Mentorship Program & New Hire Cohort401K Plan with company matchCell Phone Reimbursement Program Fiducient Advisors is a CFA Institute DEI Signatory.
As a signatory, we commit to six Code Principals that seek to drive DEI progress in a meaningful way that can be measured.
The six principles focus on pipeline, talent acquisition, promotion and retention, leadership, influence, and measurement.
Fiducient Advisors is an Equal Opportunity Employer that provides equal opportunities to all employees and applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, age, national origin, disability, genetic predisposition or carrier status, or any other characteristic protected by federal, state, or local law.
The company is committed to this policy with respect to recruitment, hiring, placement, promotion, transfer, training, compensation, benefits, employee activities and general treatment during employment.
It is expected that all employees are aware of this policy and that they create an environment that is sensitive and respectful to all individuals.
We are committed to upholding a workplace that welcomes authenticity and practices acceptance for what makes each of us different.
We are committed to educating our team, growing as a firm, and taking intentional actions related to diversity, equity, equality, belonging and inclusion.
We strive to be active participants of change in and outside our industry.