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Associate Compliance Officer

Employer
Hamilton Capital, LLC
Location
Columbus, Ohio
Salary
negotiable
Closing date
Oct 9, 2021

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Job Role
Administration
Employment Type
Full Time
Level
Experienced
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Hamilton Capital is one of the nation’s largest independent, fee-only, registered investment advisory firms.  We are headquartered in Columbus, OH and have a branch office in Palm Beach, FL.  As a Registered Investment Advisor, we guide our private wealth clients through our proven process to build, compound and preserve their wealth.  In addition, we also design and manage investment programs for institutions and retirement plans.  We operate in a fiduciary role – providing the highest standard of care in creating comprehensive investment and financial solutions. Our professionals are experienced, credentialed, nationally recognized and have an uncompromising desire for excellence.   At Hamilton Capital our Core Values are at the heart of what we do and guide us in every interaction with our clients, as well as our internal team members.

 

Serve First - Be Insightful - Guide Forward - Collaborate - Make it Happen

We are honored to have received many local and national recognitions including being named to the Financial Advisor magazine’s list of the nation’s largest independent advisors, Financial Times 300 – a list of the “industry’s elite advisors”, as well as receiving the Columbus Business First FAST 50 award, as one of Central Ohio’s 50 fastest growing companies eight times.

Hamilton Capital is growing and seeking a dynamic professional to add to our Compliance and Legal Department.  The Associate Compliance Officer’s primary responsibility is to assist in the day-to-day compliance function to ensure the firm’s adherence to laws and regulations, as well as industry best practices.  This team member works directly with the Director of Compliance & Legal and receives guidance and oversight from Hamilton Capital’s Owners’ Council and Chief Compliance Officer.  A successful Associate Compliance Officer is active in promoting a firm-wide culture favorable to compliance.

Position Benefits

  • Supportive, flexible, people-oriented culture and a professional yet familial atmosphere
  • Individual contribution and innovation encouraged and recognized
  • Personal and career development opportunities
  • Competitive compensation package commensurate with experience
  • Excellent benefits, including a 401(k) Plan with employer contribution
  • Individual and Team Incentive Plans
  • Investment management and financial planning services

 

 

PRIMARY POSITION RESPONSIBILITIES

  • Assists in the maintenance and updating of all compliance related policies and procedures (e.g., Compliance Manual, Disaster Recovery/Business Continuity Plan, Cybersecurity Manual, Privacy Policy, etc.).
  • Assists with SEC Filings, including Forms 13F/G/H.
  • Responsible for onboarding and registration of new employees with SEC/FINRA by completing and filing of Forms U-4 & U-5.
  • Conducts audits of policies and procedures.
  • Responsible for daily compliance tasks across a variety of firm initiatives.
  • Provides assistance in all aspects of mock regulatory examinations and Annual Compliance Review by outside counsel.
  • Responsible for the administration and management of the Firm’s Code of Ethics program.
  • Assists in the preparation of Form ADV. Oversees distribution/mailing to clients and solicitors.
  • Prepares client termination file to ensure proper treatment with respect to refund policy and other compliance matters.
  • Ensures compliance marketing policies and guidelines are followed; approves, monitors, and archives content.
  • Performs regulatory research and monitors pending federal/state legislation as assigned by Director of Compliance & Legal or CCO.
  • Performs ongoing review and due diligence of fund managers, technology platforms and vendor partners from a compliance perspective (initial and ongoing).
  • Provides assistance to DCL and/or coordinates training and ongoing compliance education for firm members.
  • Maintains up-to-date compliance knowledge and best practices through continuing education.
  • Maintains and utilizes technology systems (Schwab Compliance Technologies and ACA Compliance Alpha) to their fullest capacity and constantly seeks to improve efficiencies.
  • Drafts compliance communications as assigned by DCL/CCO.

POSITION REQUIREMENTS

  • Bachelor’s degree required. CFP® preferred.
  • 2-3 years of professional experience required, with knowledge/experience in securities law (specifically, Investment Advisers Act of 1940) and compliance, the financial industry, ERISA and/or legal field preferred.
  • Series 65 or equivalent securities license. If not licensed, will be required within 6 months of hire.
  • Excellent problem-solving and decision-making skills.
  • Ability to communicate persuasively and with confidence, professionalism, and authority at all levels of the business.
  • Must be able to successfully operate as a hands-on contributor to multiple projects in a fast-paced, team-oriented, and deadline-driven environment.
  • Strong analytical and interpersonal skills.
  • Excellent organizational skills.
  • Highly proficient in Microsoft Office programs, with the ability to learn industry-specific software quickly.
  • Strict ethical, legal adherence and confidentiality at all times.
  • Experience/knowledge of private funds/Investment Company Act of 1940 and GIPS preferrable.

For confidential consideration, submit your resume in PDF format only to https://hamiltoncapital.isolvedhire.com/jobs/

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