Investment Compliance Manager

The Ford Agency has an exciting Investment Compliance Manager role with one of the DC-area's top investment firms. The person in-seat will act as the subject matter expert on all compliance matters related to advisers, ETFs, mutual funds, CPOs, and CTAs. This is an excellent opportunity for someone with 5+ years of investment legal experience to join a successful and well-established team.  This is a direct hire position. 

Responsibilities Include:
 • Collaborate on developing compliance policies and processes
 • Identify and resolve compliance issues
 • Represent firm with regulatory agencies and service providers
 • Benchmark policies and evaluate compliance control effectiveness
 • Train and mentor marketing, strategy, and portfolio staff
 • Regularly administer compliance risk testing
 • Screen various materials for conflicts of interest
 
Qualifications Include:
 • BA/BS degree required, JD strongly preferred
 • Series 7, 63, and 24 licenses required
 • 5+ years direct experience in a compliance focused role for a registered investment firm
 • 5+ years experience working with SEC, FINRA, CFTC and securities agencies
 • Strong leadership, analytical, and organizational skills
 • Excellent written and verbal communication skills

Compensation:
 • 120K + generous discretionary bonus