Who We Are:
NFP, an Aon company, is a multiple Best Places to Work award winner in Business Insurance who has also earned the 5-Star Diversity, Equity and Inclusion (DEI) award from Insurance Business magazine and the WORK180 employer endorsement. We are an organization of consultative advisors and problem solvers. We help companies and individuals around the globe address their most significant risk, workforce, wealth management and retirement challenges through custom solutions and a people-first approach. To learn more, please visit: https://www.NFP.com.
NFP Retirement is seeking to hire a full-time Senior Compliance Operations Associate to join its compliance team. As a member of the firm’s compliance team, the Sr Compliance Operations Associate will be responsible for supporting the Chief Compliance Officer and the implementation of the firm’s compliance program. The position offers diversified experience across all functional areas of an investment advisory firm and interaction with a broad range of internal and external stakeholders. The Senior Compliance Operations Associate will contribute to many aspects of the compliance team’s responsibilities, including compliance testing projects, implementation of the firm’s code of ethics, preparation of regulatory filings, review of marketing and client meeting materials, and firm training.
We are seeking candidates who are well organized, energetic, and team-oriented. The right candidate is a self-starter with a strong work ethic who has excellent communication skills and attention to detail. This person must be willing to provide the highest level of client service, professionalism, and confidentiality. Furthermore, this person must be able to efficiently prioritize tasks and consistently meet deadlines. The ideal candidate is adaptable in playing the role of a builder, doer, and subject matter expert and will be responsible for establishing, executing, and owning key processes while thinking strategically to keep our compliance program nimble and effective in managing risks.
Responsibilities:
- Develop and update compliance policies in response to regulatory changes
- Manage new employee compliance onboarding, including Code of Ethics, compliance training, and onboarding employees to our Compliance Onboarding Platform
- Conduct compliance training and periodic testing
- Own monitoring and approval of employee trades, political contributions, gifts and entertainment, and electronic communication reviews
- Assist with SEC regulatory filings, including Form ADV updates, U4s, etc.
- Assist with building / enhancing foundational compliance functions, including Complaint Management, Marketing Review, Monitoring and Testing, Audits, and Examinations
- Collaborate across divisions and stakeholders to be seen as a trusted problem solver and adviser
- Support the Chief Compliance Officer on annual reviews, business initiatives, and process enhancements
Qualifications
- Minimum of a bachelor’s degree in finance, economics, or other related discipline
- Interest in, or familiarity with, the retirement consulting and wealth management businesses and investment concepts
- Experience and interest in execution (doing) and strategy (building)
- Logical judgment, detail-oriented, and ability to prioritize multiple tasks simultaneously
- Analytical mindset with a strong attention to detail
- High energy and highly self-motivated with the ability to thrive in an entrepreneurial environment
- Ability to independently make decisions with sound judgment and minimal supervision
- Ability to work collaboratively with multiple levels within the organization
- Proficiency in Microsoft applications
- Familiarity with RIA compliance requirements under the Investment Advisers Act of 1940 a plus
- Experience with Code of Ethics monitoring, electronic communication reviews, and marketing reviews a plus
What We Offer:
NFP is proud to offer a competitive salary, PTO & paid holidays, 401(k) with match, exclusive discount programs, health & wellness programs, and more. Our PeopleFirst culture focuses on building and nurturing lifelong relationships with our employees because, at the end of the day, we exist to be there for others. The base salary range for this position is $59,000 – $65,000. The base salary offered will be determined by factors including, but not limited to, experience, credentials, education, certifications, skill level required for the position, the scope of the position, and geographic location. Actual base salary offered will be determined on a case-by-case basis. In addition to the base salary, this position may be eligible for performance-based incentives.
NFP and You... Better Together!
NFP is an inclusive Equal Employment Opportunity employer.
