Deputy Chief Compliance Officer

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Deputy Chief Compliance Officer
The candidate responsibilities include : Assisting Interactive Advisors’ Chief Compliance Officer to ensure Interactive Advisors complies with all obligations imposed by the firm on investment advisors, including but not limited to annual compliance reviews, advertising material reviews, third-party service provider oversight, maintenance and implementation of compliance policies and procedures, website reviews, updates to Interactive Advisors’ filings, and interacting with the business units as needed to carry out Interactive Advisors’ compliance obligations. In connection with Compliance responsibilities: Responding to registration and compliance questions from current and potential investment advisors. Working with advisors to prepare their firm and state registration filings, including Form ADV filings. Working with advisors to draft their compliance manuals, codes of ethics, and other written policies and procedures. Interacting with the SEC, state regulatory agencies and other regulatory bodies in connection with efforts to get investment advisors registered. Drafting various written materials for use by advisors to help them meet their compliance obligations and/or respond to regulatory inquiries. Drafting web content and periodic releases on compliance issues of interest to investment advisors. Drafting research memos and/or white papers on various regulatory topics. Researching registration and compliance questions from current and potential investment advisors and the business.

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