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Mon - Fri 8:00am-4:45pm (216) 771-3450

Job Title: Compliance Officer

Employer:  Boyd Watterson Asset Management

Location: Cleveland, OH


Description

Boyd Watterson is a dynamic company built around integrity and collaboration. We value the insights and perspectives of a broad, diverse group of individuals and believe that our collective success is dependent on an inclusive environment.

Company Overview

Boyd Watterson Asset Management, LLC is an independent investment advisor specializing in real estate, fixed income, and equity products. We provide investment solutions to a broad range of institutional clients and to high net worth clients, mainly through intermediaries.

Our investment strategies focus on stable income with a moderate risk profile. The real estate products are mainly delivered through private funds that primarily own and operate commercial buildings under lease to agencies of the US government, and state and local governments. Our fixed income and equity products are delivered through separately managed accounts, mutual funds, and intermediaries. We offer a broad range of products in the fixed income space and focus on large capital income-oriented strategies in the equity space.

The Opportunity

The role of Compliance Officer is to work within a team responsible for managing the oversight and monitoring of the firm’s compliance program. They will also assist the Associate General Counsel – Compliance Officer with implementing and maintaining an effective compliance program. He/she will be expected to interact with employees throughout the organization, including those involved in operations, marketing, trading as well as regulators and vendors. 

Major Duties and Responsibilities:

I. SEC Marking Rule Compliance and GIPS Performance

  • Review marketing related materials such as presentations, due diligence questionnaires, database reporting, website content, social media platforms, etc. 
  • Provide compliance-oriented solutions and guidance for new marketing objectives
  • Assist operations and performance on items related to GIPS compliance and verification 

II. Testing, Monitoring, Analyzing and Training 

  • Maintain and update the compliance monitoring program across the firm
  • Execute registered investment adviser regulatory compliance monitoring programs
  • Perform ongoing monitoring, testing, and reviews of compliance policies and procedures (i.e. Code of Ethics, marketing materials, etc.), analyze data to identify risks, and develop and recommend corrective action for gap closure
  • Maintain well organized systemic records of the firm’s compliance program
  • Contribute to the execution and monitoring of the compliance risk assessments for the compliance programs
  • Monitor and test home and branch office activities on an ongoing basis as part of the annual review process 
  • Analyze client investment guidelines to implement and monitor investment restrictions
  • Assist with creating and delivering compliance training annually and on an ongoing basis to educate and engage employees on compliance policies and procedures, including ethics and conflicts of interests

III. Regulatory Matters and Filings

  • Participate in the process of keeping the firm’s SEC registration documents (Form ADV) up to date
  • Assist managing all other regulatory filings
  • Compile various data requirements for financial and regulatory reporting to various agencies 
  • Collaborate with the compliance team on review of regulations and make appropriate updates and recommendations to regulatory documents and policies and procedures
  • Assist in performing supervision activities for registered representatives

Education, Skills, Personal Characteristics and Work Experience Requirements:

  • Bachelor’s Degree required, preferably in a finance-related area of study, additional certifications a plus
  • 3-5 years of work experience in the financial services industry, preferably with a Registered Investment Advisor or Broker Dealer
  • Experience in compliance or auditing with a registered investment adviser or equivalent experience at a financial institution desired
  • Ability to be proactive and follow up to resolve issues
  •  Demonstrate sound judgment and apply logical and critical thought processes when developing and recommending solutions
  • Commitment to high ethical standards
  • Strong writing and verbal communication skills
  • Must be thorough, detail-oriented, and function with a high degree of accuracy

 

Boyd Watterson offers a competitive compensation package.  Our benefits include Medical, Dental & Vision Plans, Life Insurance, Health Savings Accounts, Flexible Spending Accounts, 401(k) plus match, Paid Time Off (PTO) and Holidays. 

 

Interested candidates can follow the link to apply:

https://recruiting.paylocity.com/Recruiting/Jobs/Details/893948

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