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5480 Corporate Drive, #100Troy, Michigan 48098[p] +1 248 641-7400[ f ] +1 248 641-7405ljpr.com
Please send cover letter and resume to [email protected] when applying.
Job Description: Compliance Manager
Listing InfoLJPR Financial Advisors is looking for an experienced Compliance Manager to ensure our company adheres to legal standards and in-house policies. You will be responsible for enforcing regulations in all aspects and levels of business as well as provide guidance on compliance matters. Additional duties include:
Role Description• Reports to the Chief Executive Officer• Empowered with the responsibility and authority to develop the Compliance Program, including
access to all LJPR books and records necessary for the performance of the CM’s responsibilities• Serves as a strong steward of LJPR, working with senior management to create and promote an
exemplary culture of compliance and fiduciary responsibility• Chair of the Compliance Committee
Responsibilities include, but are not limited to• Administer, enhance and at least annually assess LJPR’s Compliance Program;• Conduct, maintain and update LJPR’s compliance risk and conflicts assessment;• Chair and conduct Compliance Committee meetings;• Prepare and make all required regulatory filings;• Review marketing material;• Handle regulatory inquiries and manage on-site examinations;• Prepare/conduct training;• Be informed of and anticipate legal and regulatory developments, communicate such developments
and coordinate the implementation of appropriate changes to the Compliance Program;• Identify potential areas of compliance vulnerability and risk;• Participate in projects relating to the enhancement of compliance procedures, policies and internal
controls; • Perform all CM responsibilities set forth in the Compliance Program;• Work with third party resources LJPR has retained as necessary in connection with any of the above;
and• Remain current with respect to relevant industry developments by subscribing to one or more
compliance publications and attending at least one compliance conference a year, to be paid for by the company.
Qualities and Attributes• Knowledge of the Investment Advisers Act of 1940 and its related rules and guidance• High level of integrity and professionalism• Superior judgment in assessing potential compliance matters, the application of industry
developments to the business and knowing when to seek independent advice and when to act independently
5480 Corporate Drive, #100Troy, Michigan 48098[p] +1 248 641-7400[ f ] +1 248 641-7405ljpr.com
Please send cover letter and resume to [email protected] when applying.
Job Description: Compliance Manager
Listing InfoLJPR Financial Advisors is looking for an experienced Compliance Manager to ensure our company adheres to legal standards and in-house policies. You will be responsible for enforcing regulations in all aspects and levels of business as well as provide guidance on compliance matters. Additional duties include:
Role Description• Reports to the Chief Executive Officer• Empowered with the responsibility and authority to develop the Compliance Program, including
access to all LJPR books and records necessary for the performance of the CCO’s responsibilities• Serves as a strong steward of LJPR, working with senior management to create and promote an
exemplary culture of compliance and fiduciary responsibility• Chair of the Compliance Committee
Responsibilities include, but are not limited to• Administer, enhance and at least annually assess LJPR’s Compliance Program;• Conduct, maintain and update LJPR’s compliance risk and conflicts assessment;• Chair and conduct Compliance Committee meetings;• Prepare and make all required regulatory filings;• Review marketing material;• Handle regulatory inquiries and manage on-site examinations;• Prepare/conduct training;• Be informed of and anticipate legal and regulatory developments, communicate such developments
and coordinate the implementation of appropriate changes to the Compliance Program;• Identify potential areas of compliance vulnerability and risk and participate in projects relating to
the enhancement of compliance procedures, policies and internal controls; • Perform all CCO responsibilities set forth in the Compliance Program;• Work with third party resources LJPR has retained as necessary in connection with any of the above;
and• Remain current with respect to relevant industry developments by subscribing to one or more
compliance publications and attending at least one compliance conference a year, to be paid for by the company.
Qualities and Attributes• Knowledge of the Investment Advisers Act of 1940 and its related rules and guidance• High level of integrity and professionalism• Superior judgment in assessing potential compliance matters, the application of industry
developments to the business and knowing when to seek independent advice and when to act independently
• Strong collaborator who is able to work with the business to develop and implement compliance solutions that are pragmatic, effective and forward-looking, spot risks and troubleshoot
• Strong interpersonal and written and verbal communication skills• Strong project management skills• Ability to tailor compliance solutions to business conditions• Highly organized and detail oriented
