Job summary
Job post source
This job is directly from Bleakley Financial Group
Job overview
The Senior Compliance Officer role at Bleakley Financial Group involves supporting the Chief Compliance Officer in managing the firm's compliance program for a large SEC registered investment adviser with $8 billion AUM.
Responsibilities and impact
The Senior Compliance Officer will administer the compliance program, assist with regulatory agency dealings, supervise daily activities, manage testing and filings, review marketing and communications, maintain policies, conduct training, and perform other compliance tasks as directed by the CCO.
Experience and skills
Candidates must have a Bachelor's degree and 5-10 years of compliance experience with RIAs and broker-dealers, preferred licenses include Series 65 or 66 and FINRA Series 7, 24, and 63; strong organizational, communication, multitasking, leadership skills, and proficiency in Microsoft Office are required.
Company information
Bleakley Financial Group is a privately held RIA founded in 1994 with $8 billion AUM, serving high-net-worth individuals, family offices, and institutional clients with customized financial planning and wealth management.
Team overview
The Senior Compliance Officer will work directly with the Chief Compliance Officer and support compliance for over 160 supervised persons within the firm.
Job location and travel
The job is based in New Jersey, with responsibilities including reviewing remote locations; no specific remote work or travel details provided.
Unique job features
The role offers involvement in a hybrid RIA environment with dual registrations and comprehensive compliance responsibilities including regulatory filings and staff training.
Company overview
Bleakley Financial Group is a wealth management firm that provides comprehensive financial planning and investment advisory services. They generate revenue by offering personalized financial strategies to individuals, families, and businesses, focusing on investment management, retirement planning, and estate planning. The company has a history of prioritizing client relationships and delivering tailored financial solutions. Founded by experienced financial advisors, Bleakley Financial Group emphasizes a client-centric approach, leveraging their expertise to help clients achieve their financial goals. Their commitment to transparency and fiduciary responsibility is central to their operations, ensuring trust and long-term partnerships with their clients.
How to land this job
Position your resume to highlight your extensive experience in compliance within both registered investment advisers and broker-dealers, emphasizing your knowledge of SEC regulations and Rule 206(4)-7 compliance programs relevant to Bleakley Financial Group.
Focus on showcasing your skills in managing compliance testing, regulatory filings such as Form ADV, and supervisory responsibilities, as well as your ability to update policies and conduct staff training, which are critical for the Senior Compliance Officer role.
Apply through multiple channels including Bleakley Financial Group’s official corporate website and LinkedIn to maximize your application’s visibility and ensure you don’t miss any updates or openings.
Connect on LinkedIn with current compliance team members or those in the regulatory affairs division at Bleakley Financial Group; start conversations by referencing recent regulatory changes impacting RIAs or by asking about the firm’s hybrid RIA-broker dealer compliance challenges to break the ice.
Optimize your resume for ATS by incorporating keywords such as 'Rule 206(4)-7 compliance,' 'Form ADV,' 'compliance testing,' 'regulatory filings,' 'policy updates,' and 'staff training,' ensuring your resume passes initial automated screenings.
Leverage Jennie Johnson’s Power Apply feature to automate tailored resume submissions, identify multiple application portals, and suggest relevant LinkedIn contacts, allowing you to focus your energy on preparing for interviews and networking.
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