Compliance Manager
Fuse Partners
Location: Dallas / Preston Hollow
Castleview Partners and VisionPoint Advisory Group, doing business as Fuse Partners, are Registered Investment Advisers together providing services and technology to the wealth management industry and delivering professional advisory services to private clients and employer-sponsored retirement plans. Head-quartered in Dallas, Texas with additional offices in South Dakota, Iowa, Minnesota, Illinois, and Florida, Fuse is a privately-held, independent, and a fee-only fiduciary. Operating on its own proprietary technology, Fuse oversees a combined $4B in assets for 60,000 401(k) participants, 140 corporate clients, and about 1,400 private wealth client households.
With a purpose-driven culture, Fuse Partners lives its values and aligns with its stakeholders to serve our clients, employees, advisors, and owners in a manner that fosters professional growth, personal satisfaction, and financial success.
Position Summary:
The Compliance Manager is responsible for ensuring that the Investment Adviser, registered with the SEC, complies with all relevant laws, regulations, and ethical standards. The Compliance Manager will work closely with senior management and other departments to develop and implement policies, procedures, and controls to ensure that the Investment Adviser operates within regulatory requirements.
Primary Responsibilities:
Develop and implement policies and procedures to ensure compliance with all relevant laws and regulations, including but not limited to the Investment Advisers Act of 1940 and SEC regulations.
Conduct periodic risk assessments and perform ongoing monitoring to identify potential compliance risks.
Maintain and update the Investment Adviser's compliance manual and related documents, including Form ADV and other regulatory filings.
Ensure that all investment advisory activities comply with applicable laws, regulations, and ethical standards.
Act as a primary point of contact for all regulatory examinations, audits, and inquiries.
Provide training and guidance to personnel on compliance-related issues.
Work with senior management to develop and implement programs and processes to detect and prevent fraudulent activities.
Act as a liaison between the Investment Adviser and regulatory bodies.
Maintain up-to-date knowledge of industry trends, regulatory developments, and best practices in compliance.
Perform other duties as assigned.
Qualifications:
Bachelor's degree in law, finance, or a related field, or equivalent experience.
At least 5 years of experience in compliance, regulatory affairs, or a related field in the financial services industry.
Strong understanding of investment advisory regulations, including the Investment Advisers Act of 1940 and SEC regulations.
Excellent analytical and critical thinking skills, with the ability to identify and mitigate compliance risks.
Strong written and verbal communication skills, with the ability to clearly and effectively communicate with personnel and regulatory bodies.
Ability to work independently and as part of a team.
Ability to prioritize and manage multiple tasks and projects in a fast-paced environment.
Strong organizational and time management skills.
Ability to maintain the highest level of confidentiality and integrity.
Note: This job description is intended to be a general representation of the duties and responsibilities of the Compliance Manager. It is not an exhaustive list and other duties may be assigned as needed.
Working Location:
The position is based in our Dallas home office.
Email resume to nwilliamson@vpadvisor.com