My RIA Lawyer Announces …
Compliance Officer
In search of a person whose focus is producing high quality, detailed work based on established standards, guidelines and procedures.
If this is you, please watch this video and read this entire page …
Join us as our:
Compliance Officer
The focus of this job is on producing high quality, detailed work based on established standards, guidelines and procedures. Precision and a consistent work output is essential requiring patience and a willingness to handle and complete one task at a time. The job environment is stable as you’ll be working alongside an extremely competent and accomplished team. Our roles and functions are well defined. You’ll be a subject matter expert and thoroughly appreciate our structured step-by-step training and positive work and management style. Successful communication is always based on your experience and technical expertise. Consistent, error free work based on defined regulations and standards are key measures of job performance success. The job environment promotes steady, methodical work output so that your work can be completed on time and error-free. This position is designed to develop and support a valued technical expert, who, recognized and supported by management and a stable work environment, can deliver quality work on a consistent basis.
Position Overview
We know you’ll appreciate these job characteristics because they reflect who you are and what you want:
- Working at a steady, even pace to promote accuracy and quality of work
- Regular routines
- We’ll provide you with a complete set of procedures, and we love that you complete tasks before new ones are begun
- We celebrate your technical/analytical focus
- You’ll get to work within established systems, standards, and procedures
- We all support communications based on yours and our content expertise
- You’ll love that fact that decision-making happens within clearly defined job scope
- You get to work within defined policies and procedures
- You’ll be totally supported by management
- We love your focus on job knowledge and expertise
- We’re all about helpful, supportive communication with management and peers
- We take a collaborative approach in a structured job environment
- Leadership focused on consistent, accurate, quality work output
- You love our supportive, non-threatening leadership style
- We embrace that when you delegate to others, you do so thoughtfully
Qualifications
- Understanding of both RIA & BD compliance and the ability to effectively communicate the difference between them and how they apply to the client
- Effectively communicate with clients, counsel, and compliance staff
- Provide input and feedback to maintain an excellent client experience
- Accurately track time spent on each client case
- Manage workflow, complete tasks daily, ensure deadlines are met, files are organized and up-to-date, and work is completed correctly
- Supervise the work of compliance analysts assigned to assist with clients/matters
- Meet with clients (as needed and calendared) for the purpose of discussing their compliance issues, helping them understand the rules that govern them and implementing the changes to their compliance program
- Work collaboratively with internal team members as well as external clients and entities
- Follow all Firm policies and procedures
Education and/or Experience
Not required but preferred:
- JD
- FINRA lincenses in good standing
- IACCP designation
Here at My RIA Lawyer we know our people are our most valuable asset, and we are committed to providing a dynamic environment where everyone can be their best. And we believe in data and analytics. Please take 5-minutes to do our survey. This is not a test, there are no right or wrong responses, we’re not looking for any specific answers. Just be easy about it, don’t over think, you’ll get your results instantly, and we’ll be in touch shortly. Simply click here to take our survey.
Responsibilities
- Develops marketing plans and marketing budget with strategies and tactics (both short and long range) to ensure that the firm reaches or exceeds revenue targets.
- Researches, analyzes, and monitors market, financial, technological, and demographic factors so that opportunities may be capitalized on quickly and the possibility of competitors capturing market share is minimized.
- Plans, oversees the organization of the firm’s CRM systems, advertising and promotion activities including print, radio, TV, digital, and direct mail tactics.
- Selects and project manages outside contractors and vendors on ongoing marketing projects.
- Works with writers and graphic artists and oversees copywriting, design, layout, and production of marketing items.
- Develops and recommends pricing strategy for the firm which will result in the greatest share of the market over the long run.
- Achieves satisfactory return on investment on marketing tactics as well as achieve a satisfactory share of the market.
- Evaluates results to ensure moving swiftly in relation to marketing challenges and opportunities to be certain that revenue targets are reached or exceeded.
- Conducts client feedback activities through implementation of client surveys and implementation of complaint systems to avoid and/or calm dissatisfied clients.
- Creates and implements marketing metrics systems that track results so there is a data driven feedback system to aid in decisions.
- Creates a firm culture of “rainmaking” by designing and implementing training and coaching firm-wide for personnel.
- Other dues as may be assigned by the Owners.
Qualifications
- A demonstrative and proven track record of successfully growing law firms or other professional service firms for at least 5 years
- Strong team building; interpersonal skills and people management skills
- Outstanding written and verbal communication skills
- Deep understanding of all aspects of internet marketing, including experience with direct response marketing
- Must be self-motivated and self-directed to achieve his or her professional goals and CFEP’s goals.
- Self-starter who thrives on immersion in a rapidly changing environment and excellent problem-solving and analytical skills
- Highly organized with a strong sense of urgency to get positive results
- Ability to manage budgets, contract management, venros, and project management.
- Strong ability to create systems for tracking marketing metrics and using those metrics to make marketing recommendations/decisions.
- Demonstrate sound judgment and creative problem solving.
Education and/or Experience
- B.A. degree with major in business, marketing, advertising, or communications preferred, but overall, a strong track record with or without a degree is essential.
- Experience with Windows Operating System, Office 365, Google Workspace, Adobe Acrobat Pro, Keap/Infusionsoft and/or Zoho, is preferred but not required.
Key Performance Indicators
- % over/under firm’s revenue target
- # of Qualified Leads
- Cost Per Acquisition
- ROI of Marketing Budget and improvement of ROI month-over-month/year-over-year
- Lead to Client Conversion Rate
This post closes October 15, 2021 – you have this much time left to apply:
Days
Hours
Minutes
Seconds
Quick and easy steps for applying for this position:
Provide Your Contact Details
Answer a few contact-related questions about who you are and answer "What is a new compliance challenge you faced and how did you handle it?"
1
Upload Your Resume
You will be asked to upload your current Resume in Microsoft Word or PDF format.
2
Complete Our 5-minute Survey
We believe our people are our most valuable asset, and we are committed to providing a dynamic environment where everyone can be their best. This Survey is not a test, there are no right or wrong responses, and we’re not looking for any specific answers.
3
Join Our Team So That We Can Help More Firms Navigate The Legal And Compliance Complexities Of The Financial Services World
© 2021 - My RIA Lawyer