Job Description
About the Company
Tamar Securities is an SEC & FINRA-registered wealth management firm located in Woodland Hills, CA.
About the Role
The Compliance Officer supports the firm’s compliance program in partnership with an external Chief Compliance Officer (CCO). This role is responsible for executing day-to-day compliance activities, coordinating regulatory obligations, and serving as the internal point of contact for compliance matters. The position also plays a key role in M&A transactions by leading compliance due diligence and supporting post-acquisition integration efforts.
Responsibilities
Compliance Program Execution (in partnership with External CCO)
- Act as the primary internal liaison to the external CCO, ensuring effective communication and implementation of compliance initiatives.
- Support the development, maintenance, and execution of the firm’s compliance policies and procedures.
- Assist in administering the Code of Ethics, personal trading monitoring, and employee compliance certifications.
- Coordinate and support regulatory filings (e.g., Form ADV updates, amendments, and state notices).
- Prepare materials and documentation for annual reviews conducted by the external CCO.
Regulatory Coordination & Exams
- Serve as the internal point of contact for regulatory examinations and information requests.
- Coordinate document gathering, responses, and follow-ups with the external CCO and regulators.
- Track and remediate compliance issues identified through exams or internal reviews.
M&A Due Diligence & Integration
- Lead compliance due diligence efforts for prospective acquisitions, including:
- Review of policies and procedures, Form ADV, client agreements, and compliance history
- Identification of regulatory risks, conflicts, and potential liabilities
- Partner with legal, finance, and deal teams to support transaction execution.
- Coordinate with the external CCO to assess compliance implications of transactions.
- Support post-close integration, including:
- Aligning acquired firms with the existing compliance framework
- Updating disclosures, policies, and regulatory filings
- Assisting with onboarding and training of acquired personnel
Monitoring & Testing
- Execute compliance testing and monitoring activities as directed by the external CCO.
- Review marketing materials, communications, and advisory practices for regulatory compliance.
- Track and escalate compliance risks, conflicts of interest, and policy exceptions.
Training & Internal Support
- Deliver compliance training to employees and newly onboarded teams from acquisitions.
- Serve as a day-to-day resource for employees on compliance-related questions and issues.
- Promote a culture of compliance and accountability across the firm.
Recordkeeping & Reporting
- Maintain required books and records in accordance with SEC and state regulations.
- Prepare internal compliance reports and assist the external CCO with formal reporting.
Qualifications
- Juris Doctor (JD) required from an accredited law school.
- Active bar membership in good standing strongly preferred; candidates currently practicing law (e.g., in-house or at a law firm) are highly desirable.
- At least two years of experience in investment adviser compliance, securities law, or related legal/regulatory roles.
- Demonstrated experience supporting mergers and acquisitions , including compliance/legal due diligence and post-transaction integration.
- Strong working knowledge of the Investment Advisers Act of 1940 , SEC regulations, and fiduciary obligations applicable to RIAs.
- Strong foundation in investment adviser compliance within SEC-registered environments, with the ability to operationalize regulatory requirements into practical policies and procedures.
- Serves as a key internal liaison to external compliance leadership, coordinating filings (incl. Form ADV), annual reviews, and ongoing program execution.
- Experience supporting M&A transactions, leading compliance due diligence and assisting with post-close integration across acquired advisory platforms.
- Handles regulatory exams and inquiries end-to-end, including document coordination, regulator interaction, and remediation tracking.
- Trusted compliance partner with strong interpersonal instincts-advises on day-to-day issues, delivers training, and promotes a firm-wide culture of compliance.
- Experience working with or alongside an external/outsourced Chief Compliance Officer (CCO) preferred.
- Familiarity with Form ADV, regulatory filings, compliance testing, and SEC/state examination processes.
- Prior experience in a law firm, regulatory agency, or in-house legal/compliance role within wealth management or asset management is a plus.
- High Social Intelligence skills.
- Clean U-4 required.
- Series 7, 63, or 65 required.
Key Skills & Competencies
- Strong execution and project management skills
- Ability to translate regulatory guidance into operational processes
- Experience coordinating across internal teams and external advisors
- Detail-oriented with strong organizational abilities
- Effective communicator with the ability to escalate issues appropriately
Reporting Structure
Reports to Chief Operating Officer (COO) with a dotted-line/functional reporting relationship to the external Chief Compliance Officer (CCO).
Pay range and compensation package
Attractive base salary plus bonuses, including a 401K match, discretionary profit sharing, health care coverage, vision, dental, and life insurance.
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