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Compliance & Technology Manager

Clearwater, FL · Accounting/Finance
Csenge Advisory Group
(Clearwater, FL)
 
Expanding fast - Looking for a dedicated, expansion-driven
Compliance & Technology Manager
 
About our firm:
 
Csenge is a well-established wealth management firm, led by a team of experienced advisors and professionals with a unique vision in mind: to take financial planning and investment management to a higher standard of excellence.
 
As an independent firm, Csenge is dedicated to providing truly objective advice to their clients, and they pride themselves on fostering relationships based on trust, unparalleled service, and integrity. Through our team’s commitment to upholding the highest ethical and professional standards, we provide independent advice tailored to our clients’ needs
 
Location: 4755 East Bay Drive, Clearwater, FL 33764. See https://www.csenge.com/
Your missions:
 
  1. As our Compliance Manager, you will manage the firm’s compliance 50% of your time.  This includes overseeing all issues associated with operating the business in compliance with all federal & state laws and regulations.
  2. As the firm’s technology specialist, you will spend the other 50% of your time being our technology expert, overseeing & recommending HOW to use the necessary technology to efficiently run the firm.
 
Some responsibilities & duties:
  • Responsible for firm compliance with all Securities & Exchange Commission (SEC) rules and regulations, including:
    • Annual / necessary updates to the firm ADV.
    • Ensures all SEC and FINRA registrations are current for the Firm and Advisors; handles any new registrations.
    • Notice Filings & U4 requirements.
    • Testing of compliance policies & procedures to ensure accuracy & appropriateness
  • Creation and implementation of firm-wide practice-based policies.
  • Creation and implementation of various manuals/procedures such as: disaster recovery, business continuity plan, protocol for email handling, compliance Manual, etc.
  • Keep everything confidential and discloses information to only those who need to know.
  • Continual review and update of the Firm’s Compliance manual to ensure that compliance policies and procedures are comprehensive, robust, current, and reflect the firm’s business processes and conflicts of interest.
  • Maintain all books and records related to compliance procedures and practices.
  • Maintain a firm compliance calendar that identifies all important dates by which regulatory, client reporting, tax and compliance matters must be completed. 
  • Monitor all personal security transactions for access persons within the organization.
  • Monitor continuing education requirements for management.
  • Monitors licenses for state insurances and designations.
  • Act as liaison between the firm and offices within RIA.
  • Learn the various technology systems and platforms used within the firm.
  • Become a “super user” of the most used systems: Orion, Riskalyze, etc.
  • Lead special projects as needed.
 
Required qualifications:
 
  • Bachelor’s degree, with a minimum of three (3) years’ experience in the financial services industry with a concentration in compliance.
  • Series 7, Series 65, and Series 24 required.
  • Detailed knowledge of the intricacies of Investment Advisor Law; and federal securities laws and regulations.
  • Advanced Microsoft Office proficiency.
  • Aptitude to quickly learn new technology.
  • Ability to train others on technology.
 
Required personality and behavioral characteristics
 
  • Self-motivated and performance-driven.
  • Great prioritization skills.
  • Uncompromised ability to maintain confidentiality and integrity
  • Proven ability to identify, solve and prevent compliance issues.
  • Ability to clearly and effectively communicate and escalate issues to management.
  • Collegial and collaborative approach working effectively with others to build strong professional relationships.
  • Outstanding written and verbal communication skills with demonstrated ability to think analytically and strategically to solve problems and implement solutions.
  • Outstanding organizational skills, including prioritizing and follow-up.
  • Ability to handle competing demands and priorities.
 
Offered salary & other compensations:
Depending on your experience and performance record, we offer a base salary of $85,000 - $100,000 per year plus performance-based bonuses.
 
Additionally, we offer life, disability, dental, & vision (100% covered); medical (partial coverage); 401(k) with match.
 
IMPORTANT NOTE:
Please do not contact the office directly, as we do not accept applications this way. Please use the provided link/application forms.
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