Assistant Vice President, Compliance

Job Title: Assistant Vice President, Compliance

Company Information: Advisors Asset Management, Inc. is a Broker/Dealer, RIA, Market Maker and issuer of proprietary UITs and LPs.

Description: Advisors Asset Management is offering a full-time opportunity for a compliance professional. The position will focus on RIA compliance plus provide assistance in Broker/Dealer and RIC Compliance. The successful candidate will be responsible for the RIA 206(4)-7 program; including drafting and maintaining written procedures and policies, reviewing advertising and marketing materials, oversee compliance of the Code of Ethics, monitoring firm and employee trading, exception reporting surveillance and stay current on regulatory changes. Additional duties will include office examinations and reporting, conduct training and participate in various compliance related committees. The position involves extensive interactions with employees, senior management, and other departments.

Must be able to:

·        Respond to regulatory queries

·        Conduct research of rules, regulations and internal activities and effectively communicate those results

·        Prepare periodic reports

·        Develop effective monitoring and control processes to minimize regulatory and operational risk Understand and communicate complex business and regulatory concepts and anticipate key issues and problems

·        Mediate resolutions using good interpersonal skills

·        Work closely with management to establish an appropriate compliance culture

Must be:

·        Knowledgeable about Fixed Income securities,

·        UITs,

·        Managed Accounts,

·        Structured Products

·        Derivatives.

The position can be located in Berkley Heights, New Jersey or Melville, New York. The position reports to the Chief Compliance Officer.

Candidate Requirements:

·        Extensive knowledge of SEC, FINRA and MSRB rules governing investment advisers and broker/dealers.

·        Excellent written and oral communication are required.

·        The ideal candidate will have five to ten years’ advisory and b/d experience.

·        Regulatory work experience with the SEC or FINRA is preferred.

·        Must be able to work independently.

·        College Degree in a business related discipline is required.

·        Series 7, 24, required.

·        Advanced degree preferred.

AAM offers a competitive compensation package and a comprehensive benefits program including: Medical, HRA, Dental, FSA, Vision, 401(k), STD, LTD, Life Insurance