Compliance Manager

Frontier is seeking a Compliance Manager for our Compliance Team. This dynamic professional is the primary compliance contact for all company divisions. This role is responsible for coordinating with our compliance outsourcing partner to adhere to financial industry laws and regulations as well as best practices. The Compliance Manager will be actively engaged as a partner across most company initiatives to provide compliance advice, monitoring and oversight.

Salary: 80K Depends on Experience

Benefits: Paid Time Off

Paid holidays

Health, Dental, Vision and Life Insurance

401(k) with 4% Employer Match and current 4% Discretionary Contribution

Potential for an annual bonus

Location Preference: Sheridan, WY, Denver, CO or Atlanta, GA

Responsibilities

• Coordinates all compliance-related policies and procedures
• Manages internal compliance team
• Works with Compliance/Legal partners to:

  • Conduct periodic monitoring of significant compliance matters to confirm compliance with regulatory requirements and internal policies/procedures
  • Review of firm's compliance including but not limited to: GIPS standards, ERISA/Retirement Plans, Cyber Security, Privacy
  • Updating compliance forms and employee reporting; Form ADV, U-4, notice filings, MCO, FINRA/IARD, error reports, gifts, etc
  • Preparation and review of Form ADV II
  • Serves as cyber-security manager, conducts risk assessments and manages the compliance monitoring and testing program
  • Review and approve marketing materials (presentations, website, social media, print)
  • Provide guidance on legal, regulatory, compliance and supervision rules and regulations
  • Develop and lead required Annual Compliance Training

• Coordinates with the General Counsel in various legal drafting and research responsibilities

Qualifications

• Bachelor's degree required
• 5-10 years of professional experience required, with knowledge/experience in securities law (specifically, Investment Advisers Act of 1940) and compliance, the financial industry, ERISA and/or legal field preferred
• Series 65 or equivalent securities license a plus
• Excellent problem-solving and decision-making skills
• Excellent oral and written communication skills
• Must be detail-oriented and able to manage multiple projects within tight deadlines
• Strong leadership, team building and interpersonal skills
• Highly proficient in Microsoft Office programs, with the ability to learn and fully utilize industry-specific software including reporting functionality
• Strict ethical, legal adherence and confidentiality at all times