Dec 15, 2017
The Compliance Associate assists the Chief Compliance Officer in overseeing the Corporate Compliance Program for TFO-TDC, LLC and One to One, LLC, functioning as an independent and objective position that reviews and evaluates compliance issues/concerns within the organization. The position is responsible to help monitor Supervised Employees for compliance with the rules and regulations of the SEC, company Policies and Procedures, and that behavior in the organization meets the company’s Code of Ethics. The position requires careful attention to detail and an ability to interpret regulations and legal opinions handed down by the SEC and the firm’s Compliance Consultant. The Compliance Associate is also responsible for reviewing advertising, promotional brochures, client forms and agreements, and documents for compliance with regulations. In general, the Compliance Associate is responsible for identifying risks and internal control weaknesses, and proposing solutions to the Chief Compliance Officer and management.
Duties and Responsibilities
- Helps develop, initiate, maintain, and revise Policies and Procedures for the general operation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct. Helps manage day-to-day operation of the Program.
- Monitors the performance of the Compliance Program and related activities on a continuing basis, taking appropriate steps to improve its effectiveness. This includes scheduling compliance audits and reporting results to the Chief Compliance Officer.
- Assists CCO in managing firm’s records and retention program.
- May help oversee firm’s E-mail archiving process and routinely conducts E-mail reviews of all Supervised Persons.
- Provides reports as directed or requested, to keep Chief Compliance Officer and management informed of the operation and progress of compliance efforts.
- Develops and periodically reviews and updates the firm’s Code of Ethics to ensure continuing currency and relevance in providing guidance to management and employees.
- Assists CCO with coordination of the firm’s Business Continuity and Disaster Recovery Plan.
- Works with the firm’s CCO and Compliance Consultant and others as appropriate to resolve difficult legal compliance issues and develop an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers.
- Responds to alleged violations of rules, regulations, policies, procedures, and Code of Ethics by evaluating or recommending the initiation of investigative procedures. Develops and oversees a system for uniform handling of such violations.
- Identifies potential areas of compliance vulnerability and risk; develops/implements corrective action plans for resolution of problematic issues, and provides general guidance on how to avoid or deal with similar situations in the future.
- Monitors, and as necessary, coordinates compliance activities of IARs and satellite offices to remain abreast of the status of all compliance activities and to identify trends.
- Bachelor’s Degree, minimum 2 years industry related experience
- Effective communication, listening, organizational, ability to multi-task,
- Prioritization, problem solving and customer service skills
- Detail and process oriented
- Ability to manage projects and hit deadlines
- Proficient with PCs – (Word, Excel and PowerPoint)
- Familiarity with operational, financial, quality assurance, and human resource procedures and regulations is a must
- Basic knowledge of SEC laws and company policies
- Maintain positive, professional working relationship with management, peers, other departments and external clients
- Must demonstrate professional and ethical business practices, adherence to company standards, and a commitment to personal and professional development
- Full-time, estimated 40hrs per week, Non-Exempt
Salary and Benefits
TFO-TDC, LLC offers competitive compensation and benefits based on industry standards. The company benefits package includes 401(k) with a company matching program, paid holidays, and paid vacation time. Professional development is highly supported with partial and/or full company-paid professional accreditation and continuing education as well as other employee or company identified education and training opportunities.
NOTE: This job description is not intended to be all-inclusive. Employees may perform other related duties as needed to meet the ongoing needs of the organization.
TDC Investment Advisory – Resume Submission Form
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