Compliance Officer-Highland Capital Management, LLC
- Oversight of compliance program (including code of ethics)
- Annual review (annual report to the BOD of ongoing administration of policies and procedures highlighting changes made during the year, forensic testing, risk analysis)
- Branch reviews (regular audit of each advisor)
- Risk identification (documented risk analysis and methods or procedures to alleviate)
- Trading oversight (responsibility for appropriateness and accuracy, broker selection, trading errors, trading in correct accounts)
- Performance review (oversight of quarterly performance variance, checking each account throughout the year)
- Advertising (approval and monitor all advertising)
- Best execution recordkeeping (updates on broker matrix, commission summaries, required quarterly reports, broker evaluations, soft dollar expenses)
- Account reviews (review annual investment reviews for all accounts)
- Employee education, testing (orientation for new AA personnel, annual review for all employees, securing all required acknowledgments as required)
- BCP testing and updating (regular review and updates as necessary, annual testing of plan for employees, annual testing of plan, tracking recommended changes or improvements)
- Monthly advisor meetings (scheduling and preparation of agenda handouts, tracking of unresolved items…administrator meetings as needed)
- Annual filings (more often when appropriate), individual state filing notices
- Monitor ADV and update as appropriate
- Review and update policy and procedures manual, as applicable to business and current SEC regulation
- Perform other duties as required, consistent with the goals, objectives, and responsibilities of the Compliance Department and with the approval of the Board of Directors.
Education and Experience:
- Bachelor’s Degree in Business Administration or related field or equivalent education or experience
- Knowledge of regulations associated with the Securities & Exchange Commission (SEC) and industry standards
- Problem solving – identifies and resolves problems in a timely manner, able to interpret regulations and laws and disseminate information
- Planning/organizing – prioritizes and plans work activities, uses time efficiently and meets deadlines
- Quality control – demonstrates accuracy and thoroughness, monitors own work to ensure quality and apply feedback to improve performance
- Adaptability – adapts to changes in the work environment, manages competing demands and is able to deal with frequent change, delays or unexpected events
- Dependability – consistently at work and on time, follows instructions, responds to management direction and solicits feedback to improve performance.
- Communication – exhibits excellent written and oral communications skills; able to effectively present information and exchange ideas in one-on-one and small group situations to other employees, regulators, and committees
- Software – proficient with Microsoft Office Suite
To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The following requirements are representative of the knowledge, skills, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform essential functions.
The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
Inside work for the most part; normal office equipment. Employee may occasionally be required to travel to other office locations; may drive a vehicle and be exposed to weather and temperature fluctuations.
Competitive Salary commensurate to experience.
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