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Compliance Specialist

Company: Oxford Financial Group, Ltd.
Location: Carmel
Posted on: November 23, 2021

Job Description:

Oxford Financial Group, Ltd.--- is the premier multi-family office in the Midwest. Oxford was named the #5 Largest Multi-Family Office in the World by Caproasia in 2020. Oxford was named the #1 Registered Investment Advisor (RIA) by Financial Planning magazine in 2013, 2014, 2015, 2016 and 2017 and the #5 RIA in 2020 (based upon assets under management).* One of the largest independent RIA firms in the country with oversight of approximately $26.7 billion in assets under advisement (which includes assets under management), Oxford has 21 Managing Directors in five market offices who serve over 700 significant families and prodigious institutional clients in 37 states.** Oxford is an independent, fee-only firm that is privately held by its partners, with special expertise in Bespoke Generational Solutions, Aspirational Solutions and Diversifier Strategies. Oxford has provided multi-generational estate planning advice and forward-thinking investment solutions to families and institutions for more than 39 years. For additional information, call 800.722.2289 or visit www.ofgltd.com . The Caproasia list of top 10 largest multi-family offices in the world is based on assets as reported in the Form ADV as of December 31, 2019. This list excludes multi-family offices that are operated within banking groups or a subsidiary of banking groups. The Financial Planning magazine lists of the 2020 Top 15 Firms and the 2013-2017 Top 150 RIA Firms are based on assets under management as reported in the Form ADV. The lists contain independent fee-only planning firms. Broker-dealers, insurance company affiliations and firms with substantial outside ownership stakes held by private equity firms and some outside investors are excluded. The lists do not include roll-ups, aggregators or turnkey asset management programs. To capture firms that provide true, holistic financial advice to individuals, only firms with more than 50% individual clients, as can be determined through Form ADVs, are included. The rating may not be representative of a client---s experience and is not indicative of future performance. Oxford did not pay a fee for inclusion in the rankings, but may purchase reprints. *As of 10.1.20 **As of 12.31.19 Position Summary: Supports the Fiduciary Risk and Compliance Officer in compliance related responsibilities including but not limited to inspections, testing, surveillance, filings and exams in order to comply with Federal, State and local laws and regulations for Oxford Financial Group, The Trust Company of Oxford, and Savile Row Bespoke Society. Responsible for working with an outside compliance vendor to manage compliance for a commodity pool operator. Qualifications:

  • Bachelor---s degree in Finance or Business preferred
  • Minimum of 5 years of experience in the financial services industry preferred (may include an accumulation of experience within a Registered Investment Advisory firm, FINRA-regulated firm, Commodity Pool Operator, or Trust Company)
  • Must be computer literate and have knowledge of Microsoft Word, Outlook and Excel
  • Knowledgeable with CRM and client/performance reporting systems
  • Ability to conduct research through multiple regulatory resources including the IARD/CRD system
  • Ability to organize and analyze data into snapshots and exception reports
  • Ability to use all office equipment
  • Must have a professional demeanor with the utmost respect for confidential matters
  • Must be able to work independently and in a team environment
  • Must have excellent written and verbal communication skills with strong interpersonal skills
  • Must be detail oriented with excellent organizational skills
  • Must have ability to multi task
  • Must have the ability to work in a high stress, fast paced environment
  • Must have strong work ethic with a positive attitude
  • Must be sensitive to surroundings during confidential projects and conversations Working Conditions: Minimum travel to market offices and conferences Job Requirements:
    • Duties & Responsibilities: Manages the compliance responsibilities for a commodity pool operator.
      • --Utilizes an outside compliance vendor for additional compliance support
      • Assists in ensuring filings are accurately completed
      • Works with compliance vendor to ensure proper disclosure on all documents
      • Review and interpret relevant laws and regulations to ensure the company is in compliance
      • Conducts test, audits, and mock exams-- Supports the Fiduciary Risk and Compliance Officer with cause inspections, sweep testing, transactional and random situational testing, market office exam, regulator exams and primarily control exams
        • Assists with determining the schedule of inspections, tests, exams and audits within a reporting period
        • Collects required data and research to conduct thorough inspections, tests, exams and audits, including those conducted by regulatory agencies
        • Assists with SEC, DFI, NFA, DOL and state requirements and filings
        • Assists with policy and procedure reviews, particularly as they relate to the testing protocol
        • Assists with researching SEC, NFA, and other regulatory agency rules and regulations in order to incorporate new requirements into policies and procedures Performs other duties related to assisting the Regulatory Compliance Department
          • Conducts regular and as-needed internal surveillance and produce summary reports
          • Provides assistance for day-to-day regulatory compliance responsibilities al laws

Keywords: Oxford Financial Group, Ltd., Carmel , Compliance Specialist, Accounting, Auditing , Carmel, Indiana

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