Senior Compliance Associate
Forum Financial Management, LP
Location: Lombard, Illinois
Forum Financial Management, LP is a rapidly growing Registered Investment Advisory firm (RIA) in search of a candidate to join our Compliance team. The Compliance Liaison assists the Chief Compliance Officer (CCO) and Chief Legal Officer (CLO) with the monitoring, documentation, and supervision of running our SEC-registered Investment Advisory Firm.
ESSENTIAL DUTIES AND RESPONSIBILITIES:
• Perform testing and reviews of compliance policies and procedures, analyze the data to help identify risks and work with the compliance team to develop corrective actions.
• Participate in the monitoring of risk assessments and advisor supervision for the compliance program.
• Participate in the process of updating the firm’s SEC registration documents (Form ADV, CRS) and individual advisor registrations (U4 filings and ADV Part 2B).
• Assist in managing regulatory filings and various audits, such as 13H, 13F, Form N-PX, annual custody audit and the DOL PTE 2020-02 retrospective review.
• Partner with the marketing team to serve as a content reviewer and approver from a compliance standpoint (e.g. client communications, advisor presentations, marketing pieces, social media archives/posts, ranking applications)
• Collaborate with the operations team for testing and reviews of trading and operational procedures.
• Assist with the daily management of the firm’s My Compliance Office platform and Compliance email inbox.
• Participate in the annual branch office reviews for 50+ branch offices.
• Assist in developing and managing the compliance resources available within the firm’s intranet.
• Assist with the new associate and advisor compliance trainings and affirmations
MINIMUM KNOWLEDGE, SKILLS, AND ABILITIES:
• Bachelor’s degree or equivalent experience required.
• Experience in compliance with a SEC or State Registered Investment Adviser, FINRA, or equivalent experience at a financial institution is desired.
• Knowledge of the Investment Advisers Act of 1940.
• Demonstrates proficiency with the use of software applications (Microsoft Office Suite) without assistance and with minimal supervision.
• Ability to be proactive and follow up to resolve issues.
• Demonstrate sound judgment and apply logical and critical thought processes when developing and recommending solutions.
• Ability to work independently and meet deadlines.
• Ability to effectively interact and communicate with all levels of staff.
OTHER SKILLS:
• Possesses ability to maintain professional composure in fast-paced work environment that often requires the management of multiple and competing priorities.
• Ability to work well with others and demonstrates willingness to be a contributing and engaged team member by sharing knowledge, working towards common goals and maintaining a positive attitude.
• Professional-level communication, listening, organizational, prioritization, and problem-solving skills
• Strong work ethic, ability to multitask, efficient time management, and detail-oriented
• Ability to be proactive and to possess strategic thinking skills
• Ability to manage change, anticipate needs, adapt and be flexible
WHY WORK FOR FORUM FINANCIAL MANAGEMENT?
We are a rapidly growing organization with a competitive total rewards package, continuing education and training, and tremendous career potential.
COMPENSATON AND BENEFITS:
• Full benefits package including: Health, Dental, Disability and Life Insurance
• 401(k) with a company matching program
• Paid Time Off
To apply please email hr@forumfinancial.com.