Compliance Liaison/Associate

Written By Ingrid Nordskog

Forum Financial Management, LP

Location: Lombard, IL

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 13F, annual custody audit and the DOL PTE 2020-02 retrospective review.

  • Oversee the daily management of the firm’s My Compliance Office Technology platform.

  • Coordinate and participate in the annual branch office reviews for our 40+ branch offices.

  • Collaborate with the operations team for testing and reviews of trading and operational procedures.

  • Oversee the firm’s annual delivery of regulatory documents and updates as needed.

  • Assist in developing and managing the compliance resources available within the firm’s intranet.

  • Oversee the new associate and advisor compliance trainings and affirmations

  • 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)

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

Ingrid Nordskog
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