Job Location: Stamford, CT or Remote
NewEdge Wealth is looking for a highly skilled Deputy Chief Compliance Officer to provide and assist in the development and management of NewEdge Wealth’s investment advisory compliance program.. This position will work with closely with the firm’s legal, operations, IT and other support personnel, using their understanding of compliance requirements to meet the firm’s obligations while providing support and leadership through collaboration and effective execution of the Compliance Officer’s role. The Deputy Chief Compliance Officer will report directly to the General Counsel and Chief Compliance Officer of NewEdge Wealth.
This experienced compliance professional will be dedicated to investment advisory compliance and will be responsible for day to day as well as periodic and ad hoc compliance reviews. This individual must be knowledgeable in the Investment Advisers Act and related rules and regulations, be able to take direction and show initiative and should be familiar with the independent RIA world, be flexible and business minded and capable of taking on a Chief Compliance Officer role or in the future. Prior experience with UHNW businesses is preferred.
Assist in identifying rules and regulations applicable to the firm’s current and proposed advisory business
Assist in identifying areas of regulatory risk and helping the business develop effective controls
Assisting with the design and testing of the firm’s policies and procedures
Conducting monthly, quarterly and ad hoc compliance reviews
Assistance with the Annual 206(4)-7 Review
Oversight of Investment Management Platform and Advisory Programs
Vetting new managers and funds
Act as the compliance representative in formal committees related to new investment managers and funds
Wrap Fee program oversight
PWA managed portfolio oversight
Private Placement Program – Reg D Compliance
Act as a point of contact for new adviser transition teams.
Marketing review (RIA)
SEC Reporting and Filings
Conducting supplemental training and education
Conducting Trading Reviews and Best Ex
SEC and state regulatory exam coordination (as needed)