Position General Responsibilities: Incumbent is responsible for administering and monitoring the firm's compliance program as an SEC Registered Investment Adviser requirement. Must foster a highly ethical culture of compliance with "client first" approach. Will represent SWM in community activities as agreed and approved by Manager. Minimum Qualifications:
Strong commitment to providing exceptional customer service.
Four-year college level course study/degree.
Minimum of five years previous Registered Investment Adviser (RIA) Compliance experience.
IACCP designation preferred.
Working knowledge of Word, Excel, Access or related software.
Demonstrated ability to provide information in concise verbal and written formats is essential for job success.
Experience in retirement planning (403(b), 401(k), Pension Plans) is advantageous.
Specific Skills Requirements:
Action Orientation – taking initiative to achieve desired results rather than passively waiting for direction.
Applied Learning Ability – understanding new information and complex ideas quickly and without confusion.
Strong Communication Skills (written and verbal) – ability to disseminate complex information in an easily-understandable format to an audience of varied knowledge level.
Creative Problem-Solving Ability – looking for solutions to achieve desired results.
Strong Interpersonal Skills – with ability to interact effectively with all levels of management.
Professionalism – maintaining a professional attitude, image, and work ethic.
NOTE: Travel is possible with this position and could include overnight stays.Dimension of Job:This position requires a thorough knowledge of investment activities and policies.For full description, which includes physical mental demands please see attachment.
