Sanctuary Wealth · 2 weeks ago
Senior Compliance Officer (Wealth Management)
Portland, OR
Full-time
Hybrid
Mid, Senior Level
3+ years expSanctuary Wealth is a company focused on providing premier support to elite financial advisors. The Senior Compliance Officer will support multiple investment advisory firms by providing compliance guidance, regulatory expertise, and operational support while maintaining high regulatory standards.
Financial Services
Responsibilities
Assist and support the Chief Compliance Officer (CCO) with day-to-day compliance operations
Help maintain compliance programs to ensure adherence to federal and state securities laws and keep policies updated for each Firm’s business activities
Research new rules, regulations, and regulatory guidance on an ongoing basis
Serve as liaison with regulators for assigned Firms, coordinating communications, preparing required documentation, and assisting with regulatory exams and remediations
Support internal departments with compliance data collection, reporting, and adherence to filing deadlines
Maintain current knowledge of regulatory changes through continuing education and review of regulatory publications
Back-up Compliance Officer for Compliance Software (ComplySci) administration
Back-up Compliance Officer for Electronic Communications Archiving Solution (Smarsh) administration
Maintain desk procedures for assigned compliance functions
Other duties as assigned
Act as the designated Chief Compliance Officer (CCO) for assigned Firms, serving as an integral member of their teams
Develop a strong understanding of each Firm's business model and maintain open communication, including recurring compliance meetings
Research and respond to Firm requests within established service-level agreements (SLAs), escalating to the CCO as needed
Ensure assigned Firms’ ADVs remain up to date and accurately reflect their operations
Oversee annual filings, risk assessments, compliance reviews, regulatory training, and other required compliance functions
Coordinate annual policy reviews and registration updates
Maintain and supervise required books and records for assigned Firms
Prepare and analyze compliance audit reports and data
Collaborate with Compliance Officers on compliance calendar reviews
Other duties as assigned
Qualification
Required
3+ years of experience in risk management or compliance roles, preferably within the RIA or financial services industry
Strong analytical abilities and sound judgment when interpreting regulatory guidance
Superior organizational skills and attention to detail
Ability to prioritize and adapt to shifting deadlines
Strong verbal and written communication skills
Collaborative mindset and openness to feedback
Knowledge of industry protocols and best practices
Strong initiative, accountability, and professional integrity
Excellent time management skills and ability to multitask
Ability to work in a standard office environment and use standard office equipment, including a computer
Must be able to maintain attention to detail despite interruptions and communicate clearly in person and via phone
Preferred
Bachelor's degree preferred
Benefits
Competitive compensation
Unlimited PTO
Paid company holidays
Company
Sanctuary Wealth
Sanctuary Wealth (sanctuarywealth.com) is the advanced platform for elite advisors with the entrepreneurial spirit to build, own and create lasting equity in their practices while delivering clients the tailored service they deserve.
51-200 employees
Funding
Current Stage
Growth StageLeadership Team
Adam Malamed
Chief Executive Officer
David Vaughan
Chief Financial Officer
Recent News
2024-04-10
2024-03-11
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