Compliance Officer
Ft. Washington Investment Advisors - Cincinnati, OH

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Ft. Washington Investment Advisors has an immediate opening for a Compliance Officer.

Summary of Responsibilities:
Supports and counsels business units within Fort Washington Investment Advisors, Inc. and Peppertree Partners with regard to firm, SEC and state compliance requirements. Monitors changes in federal and state laws and regulations; analyzes relevant data and initiates revisions to written policies and procedures as needed. Performs advertising and requests for proposal reviews for Fort Washington and Peppertree. Assists the Chief Compliance Officer by supporting oversight, auditing and monitoring of all compliance-related matters for FWIA. Works with minimal supervision and is responsible to make an established range of decisions, escalates to manager when necessary and updates manager on a regular basis.

Position Requirements

Position Responsibilities:
• Prepares and presents compliance training.
• Reviews advertisements, sales literature, requests for proposals and correspondence for securities products and/or services and maintains appropriate records.
• Assists in the development and execution of the Compliance Program.
• Assists in the preparation of regulatory filings, including Form ADV, state notice filings and investment adviser representative filings.
• Supports Chief Compliance Officer with regard to overall compliance of Fort Washington and Peppertree Partners.
• Acts as liaison support between regulators, clients, and business units.
• Analyzes regulatory changes and prepares impact reports to business units with potential alternatives for the unit to maintain compliance.
• Advises business units on regulatory implications of business decisions and assists in the day-to-day adherence to compliance requirements.
• Supports the review of employee brokerage transactions and outside brokerage account statements.
• Communicates in both oral and written format to senior management compliance requirements, regulatory changes and appropriate actions.
• Conducts audits to meet requirements of Fort Washington and Peppertree’s compliance programs to determine compliance with industry, firm and regulatory standards, rules and regulations.
• Supports Fort Washington’s compliance in monthly/quarterly/annual reporting.
• Acts as a liaison between Western & Southern, Peppertree and FWIA.
• Performs other duties as assigned by the Chief Compliance Officer.
Selection Criteria:
• Significant industry experience in the financial services industry with preference for Investment Advisory experience. At least 5 years must be in a compliance role.
• Demonstrated knowledge of federal and state securities regulations and processes as well as other regulatory requirements applicable to investment advisors and investment vehicles.
• Possesses knowledge of regulation of registered investment advisors and investment companies as well as various investment products.
• Demonstrated ability to bridge regulatory requirements and industry best practices.
• Proven experience establishing compliance controls for securities product sales through various distribution channels.
• Proven experience coordinating multiple projects/assignments simultaneously and completing assigned tasks accurately and on a timely basis. Must demonstrate a strong attention to detail with excellent organization skills. Expected to cite examples of organization and time management/methods used to manage or prioritize workload demands. Must demonstrate project management experience in planning, executing and maintaining a project from start to finish.

• Possesses and displays excellent verbal and written communication skills with ability to convey information to internal and external customers in a clear, focused and concise manner. Demonstrated ability to effectively interact and communicate with all levels of staff and management.
• Demonstrated experience in conducting review of written securities communications.
• Proven ability to conduct compliance audits and develop written communications.
• Demonstrated experience maintaining a calm and professional demeanor when handling stressful situations.
• Proven strong analytical skills, including demonstrated experience identifying and quantifying problems and providing effective solutions.
• Demonstrated experience working effectively within a team. Must provide examples of motivating co-workers in difficult situations.
• Demonstrated experience leading and working effectively within a team. Must provide examples of motivating co-workers in difficult situations and going above and beyond the call of duty to assist team members. Proven experience in developing teamwork and optimizing the use of resources to achieve team or organizational goals and objectives.
• Demonstrated experience effectively influencing a group to a recommended course of action.
Educational Requirements:
• Bachelor’s degree or commensurate work experience.
• MBA or JD highly desirable.
Computer skills and knowledge of hardware & software required:
• Working knowledge of Excel, Word and PowerPoint software.
Certifications & licenses (i.e. Series 6 & 63, CPA, etc.):
• None required.
Position Demands:
• Extended hours required during peak workloads or special projects.
• Travel up to 5% of time.

Position Attributes

Centered on the interests of our clients, Fort Washington offers a wide range of financial solutions that are customized to the specific needs of both institutions and individuals. Our core commitment remains the same within the parameters of each investment strategy: to provide our clients with outstanding investment products and services that present long-term, above-average return potential. Fort Washington is a member of Western & Southern Financial Group.

Fort Washington Investment Advisors, Inc.

Fort Washington Investment Advisors, Inc., a registered investment advisor, provides professional and comprehensive investment management services for institutions, corporations, insurance companies, mutual funds, foundations, associations and high-net-worth individuals. Founded in 1990, Fort Washington and its subsidiaries manage more than $27.3 billion in assets, offering a broad array of investment styles from equity and fixed income to private equity fund of funds.

Fort Washington Capital Partners Group

Fort Washington Capital Partners Group (FWCPG), based in Cincinnati, Ohio, is the institutional private equity division of Fort Washington. FWCPG manages more than $1.8 billion in private equity commitments, including eight private equity funds of funds and various customized advisory programs. FWCPG team has been investing in private equity partnerships since 1984, beginning with investments on behalf of its parent company and affiliates. In 1999, FWCPG expanded its investment efforts to include third-party clients through its fund of funds offerings. To date, FWCPG has invested in more than 215 underlying funds.

Fort Washington Wealth Management Group

Fort Washington Wealth Management Group is the wealth management division of Fort Washington Investment Advisors, Inc., offering comprehensive and objective investment management, consulting and wealth advisory services to high-net-worth individuals, their businesses and philanthropic organizations.

Western and Southern Financial Group provides a host of benefits that include medical, dental, life, pension, 401K, free fitness facility, on-site cafeteria, and generously subsidized parking. Western & Southern promotes a stable, fulfilling and challenging environment with an emphasis on excellence and continued career development.

Western & Southern Financial - 16 months ago - save job