Job description

The position’s main responsibilities involve supporting the Investment Advisory CCO in creating and conducting regulatory compliance tests/surveillance to ensure compliance with various investment adviser regulatory requirements. Additional compliance support, such as reviewing and analyzing applicable law, regulation, regulatory developments and industry best practices relevant to the firm’s business activities and assisting in the development of compliance policies, procedures and processes, will be required. The scope and responsibilities of this position will not be static. As the business needs and compliance objectives change over time, the responsibilities of this position will be expected to evolve in order to meet the changing deliverables of the department. The position may require occasional travel.

What you are good at:

• Analytical ability – Able to effectively review information and data in order to identify issues and opportunities.
• Organization and Time Management – Able to structure the timing of operational workflow to reliably and accurately complete multiple tasks under frequent time constraints
• Initiative - Proactively look for opportunities to enhance our operational procedures
• Building Relationships– Connecting with others in a way that fosters trust and creates collaborative relationships

Responsibilities:

• Develop and administer internal program reviews to test the effectiveness of current policies/procedures/practices, compose summary testing memos and organize/prepare testing work papers;
• Identify and complete assessments on potential risk related issues concerning investment advisory related activity; present summaries of findings and metrics to management upon request
• Conduct investment advisory compliance program related surveillance, review activity reports on a periodic basis for purposes of ensuring compliance with firm policies and procedures and advisory program parameters;
• Revise investment advisory compliance policies and procedures on an as-needed basis;
• Identify regulatory issues and monitor regulatory developments applicable to the firm’s business;
• Assist with the preparation and submission of firm material in response to regulatory exams and requests;
• Support and advise our client facing business partners while developing and maintaining positive and collaborative relationships with internal business units;
• Assist with investment advisory regulatory filings (e.g., Forms ADV, 13F and 13G);
• Performing other compliance related tasks and projects as requested.

Experience & Skills:

• Bachelor’s Degree or equivalent experience required.
• 3-5 years in compliance and/or auditing experience within the financial services industry;
• FINRA Series 7 securities license required, Series 9/10 or 24 highly desirable
• Knowledge of securities laws, rules and regulations applicable to investment advisers and broker-dealers;
• Proven track record in planning and project management and in maintaining composure under pressure while meeting deadlines;
• General knowledge of wrap fee accounts, managed programs and analyzing and applying rules and standards under the Investment Advisers Act of 1940 strongly preferred;
• Excellent written and verbal communication, analytical and follow-up skills.

This role will be hybrid, the individual will work approximately three days per week in-office.

Why work for us?
Benefits: Janney believes that its employees are the key to what makes a great company. Although work makes up a large portion of an employee’s life, we believe that a balance between work and non-work activities is essential to maintain quality performance and a positive work atmosphere. We offer a competitive package including Paid Paternal Leave, generous Paid Time Off, eligibility for a $2,000 referral bonus and Professional Development Assistance Plan designed to help you make the most of your life at work and at home—today and in the future. Explore further.

Janney is an award-winning full-service financial services firm committed to understanding our clients' needs and providing advice beyond investments. We are equally committed to building a diverse workforce and inclusive culture where employees can use their talents to thrive and grow professionally with the firm. Attracting, hiring, and retaining diverse talent is a priority for the firm. We succeed because of the people who choose to work here; the depth of their skills, experiences, diversity of thoughts and backgrounds.

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