VP, RIA Compliance
Manages RIA Compliance staff; manages and directs the registrations of TFA as an investment advisor, its representatives as investment advisor representatives ("IARs"), and its branch offices with all states and required territories ensuring compliance with Federal and State laws; develops and implements TFA's investment advisory policies and procedures as required by the SEC and state laws; assists TFA's Advisory Services Department with the review of TFA's advisory programs; manages review of advisory program materials and coordinates review of such materials with TFA's Legal Counsel; develops and reviews monitoring programs for TFA's advisory service programs designed to reasonable ensure compliance with applicable Federal and State laws; develops and implements training programs for home office personnel and IARs relevant to TFA's investment advisory policies and procedures and TFA's advisory service programs; coordinates applicable regulatory examinations and related internal/external examinations and reviews.
Requirements:
Bachelors degree or 10+ years business experience in responsible administrative positions; 10+ years in the securities industry or law firm; current/active Series 7, 24, 63 and Series 65 or 66; strong interpersonal, communications skills and research skills; strong time management, writing, analytical and proofreading skills; able to interact effectively with the firm's customers, TFA registered representatives, IARs, branch office managers, in-house management counsel and Federal/State regulators; knowledge of securities and investment advisory compliance, disclosure reporting, customer complaint handling, securities and investment advisory registration and licensing; comprehensive knowledge of the Investment Advisor Act of 1940, Investment Advisers' Supervision Coordination Act, Securities and Exchange Act of 1934; FINRA conduct rules, Blue Sky Laws, ERISA regulations,and all states' investment advisory statutes' rules and regulations; comprehensive knowledge of advisor directed asset management programs, third-party asset management programs, financial planning programs, consulting programs, PC proficiency (MS Office, Caesar, Web CRD, CIS, IARD, etc.)
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