Compliance Officer

DESCRIPTION

Dinsmore Compliance Services, LLC (DCS) is currently seeking candidates for our compliance officer (CO) position to work directly with our chief compliance officer’s (CCO’s) and our financial services clients. The compliance officer is a valuable member of the client services team, and this position will support the engagement with assigned clients working as a dual team member.

The compliance officer will work directly with both DCS CCO’s and DCS clients in the provision of compliance services, including investment advisers, municipal advisers, and/or broker-dealers. Responsibilities include performance of daily compliance program administration and related tasks including, but not limited to:  email reviews, fee bill reviews, suitability reviews, branch office reviews, account opening/closing reviews, marketing and advertising reviews, updates and maintenance of compliance policies and procedures in client compliance manuals and compliance calendars, and support of and/or participation in client compliance training.

RESPONSIBILITIES

• Assist with updates and maintenance to client compliance manuals and compliance calendars in accordance with applicable regulations and client business activities
• Update client information and maintain timely and accurate inputs in applicable system(s)
• Prepare client quarterly compliance deliverables as well as other items as needed
• Perform testing and provide assistance for a variety of compliance reviews including, but not limited to:
  • Email
  • Fee bill
  • Opened/closed accounts
  • Suitability
  • Large trader thresholds
• Assist with other compliance activities as needed including, but not limited to:
  • Form filings
  • Marketing and advertising reviews
  • Annual firm reviews
  • Branch office reviews
  • Employee attestations and code of ethics
• Assist in preparing and conducting compliance training for clients and their employees
• Provide support to the CCO and client during regulatory exams
• Assist in preparing due diligence for client vendors

REQUIREMENTS

• Ability to work independently in a high demand/high productivity environment
• Work efficiently with high attention to detail and the ability to multi-task
• Carry a high level of team orientation; possess strong interpersonal communication skills and a passion to help team members and clients
• Demonstrate integrity—maintain client trust, confidentiality and code of ethics
• Strong verbal and written communication skills
• Dependable, accountable, adaptable, and flexible
• Ability to enthusiastically support and promote the goals of our firm and clients

EDUCATION AND EXPERIENCE

• Bachelor’s degree (B.A.) or equivalent from four-year College or University preferred
• Experience in financial industry compliance and/or operations a plus

LOCATION

Cincinnati, Ohio

ABOUT THE COMPANY

Dinsmore Compliance Services, LLC (“DCS”) is a growing provider of outsource compliance services and solutions to investment advisers, municipal advisers, hedge funds, and broker-dealers.  We offer full chief compliance officer (CCO) services, consulting, assessments, and financial operations (FINOPs) consulting, through an experienced and close knit team of professionals.  We offer competitive compensation, health benefits, and a 401(k) retirement plan.  DCS is an affiliate of the national, full-service law firm Dinsmore & Shohl LLP.