Compliance Advisor

Piper Companies is seeking a Compliance Adviser to join an established Investment Management company located in Wayne, PA. This position is HYBRID, and requires you to be onsite Tuesday, Wednesday, and Thursday. The Compliance Adviser will oversee testing and controls for Investment Consultants and will also collaborate with compliance and business line personnel.

Responsibilities of the Compliance Advisor include:

• Aid in planning and designing, and executing the testing program.

• Coordinate tasks within the controls/ oversight program such as reviewing reports from service providers.

• Assist the compliance Manager in diligence activities and policy management.

Qualifications for the Compliance Advisor include:

• Experience working in financial services, compliance, internal audit or public / fund accounting industries.

• Interpret regulations, policies and procedures, implement compliance controls and testing.

• Familiarity with pooled vehicles (mutal funds and ETFS)

• Bachelor's degree or a minimum of 4 years experience in financial services.

Compensation for Compliance Advisor include:

• Salary Range: $70,000-$125,000 depending on experience

• Full Benefits: Cigna Medical, Dental, Vision, 401k, ect.

Keywords:

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