Compliance Officer
Genworth Financial, Inc. - Pleasant Hill, CA

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About Genworth Financial Wealth Management, Inc.
Genworth Financial Wealth Management, Inc. (“GFWM”), a registered investment advisor and subsidiary of Genworth Financial, is an investment management and consulting firm dedicated to helping advisors build great businesses. We provide a comprehensive fee-based investment management platform, robust client relationship management tools and industry-recognized practice management programs to over 6,000 advisors with over $20 billion in assets under management. We serve as an investment advisor to client accounts as well as the sponsor to a wrap program. Additionally, we are the investment advisor to 3 proprietary mutual fund families.
Through innovative, growth-oriented initiatives, we continue to expand our services, and are making rapid progress toward our goal of becoming the top firm in our industry. Headquartered in the San Francisco Bay Area, with offices in Phoenix, Chicago and several locations in southern California,

About Genworth Financial, Inc.
Genworth Financial, Inc. (NYSE: GNW) is a leading Fortune 500 global financial security company. Genworth Financial has more than $100 billion in assets and employs approximately 6,000 people with a presence in more than 25 countries. Its products and services help meet the investment, protection, retirement, and lifestyle needs of more than 15 million customers. Tracing its roots back to 1871, Genworth Financial is headquartered in Richmond, Virginia.

Job Description

Directly supporting GFWM’s CCO, the Compliance Officer will:
CODE OF ETHICS MONITORING, EMPLOYEE COMMUNICATION, REMINDERS AND STATEMENT REVIEW
  • Continuously remind associates of their responsibility under the Code of Ethics including sending quarterly emails, assessing whether new groups need to be added to the Code or to the pre-clearance requirements. Send Quarterly Code of Ethics reminders to all employees
  • Analyzes employee trading for patterns that are in violation of the Insider Trading and Code of Ethics. Writes violation memos and works with employees on correcting violations.
  • Ownership over the annual Code of Ethics process, including recommending amendments to the Code of Ethics, developing the annual code of ethics training and oversee the annual Code of Ethics Certifications and Employee Questionnaires. Review the annual questionnaires for any potential violations of the Code of Ethics
  • Conduct the new employee orientation on the Code of Ethics.
NEW EMPLOYEE REGISTRATIONS FOLLOW-UP & MONITORING
  • Primary liaison with our affiliated broker-dealer for employee FINRA registrations, annual branch audit, annual license renewals, supervisory structure updates and field miscellaneous questions/requests
  • Ownership of new employee registration for state license(s) and U5 processing
  • Proactively reaches out and confirms whether new positions or changes in the organization dictate additional licensing. Communicates these changes to employees, CBC and other divisions of Genworth to ensure compliance with regulatory requirements.
BEST EXECUTION
  • Gather all documentation for the Execution Review Committee, develop the agenda, coordinate the meeting, write the minutes, spearhead the follow up tasks and maintain up to date files.
COMPLIANCE PROGRAM MAINTENANCE AND TESTING
  • In conjunction with Compliance staff, develop and enhance compliance policies and procedures. Develop testing and monitoring procedures for those policies and maintain appropriate records.
  • Conduct forensic testing on various policies and procedures considered higher risk to the firm and report out findings and recommend corrective measures to implement.
  • Work with the Senior Compliance Officers in conducting client file reviews.
GENERAL PROJECT WORK
Assist with other project tasks as assigned by Manager. This includes, but is not limited
  • Maintain knowledge of changing SEC and other regulatory requirements as they relate to investment adviser regulations; direct special projects as needed as a result of these regulatory changes
  • Work with the Training team to develop Compliance related training content for various topics such as Client Security Awareness, Code of Ethics, etc.
Basic Qualifications:
  • Bachelor’s degree required;
  • 3-5 years experience required, including direct background with Investment Advisers Act of 1940
  • Highly analytical and detail-oriented a must
  • Ability to drive for results in a comprehensive manner taking into account time constraints
  • Organizational and time management skills required
  • Clarity of thought and ability to communicate compliance requirements and analysis both written and verbal a must
Preferred Qualifications:
  • Broker – Dealer compliance experience
  • Project management, regulatory and/or audit experience

Genworth Financial, Inc. - 19 months ago - save job - block
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About this company
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Genworth Financial, Inc. is a leading Fortune 500® insurance holding company dedicated to helping people secure their financial lives....