Lido Advisors, LLC, one of the fastest growing and dynamic independent SEC-registered investment advisors in the country, is looking to expand its Legal, Compliance, and Risk Department by adding at least one mid-level compliance or legal professional to our team.
The successful candidate will have a minimum of three years of direct, investment advisor-related legal or compliance experience involving one or more of the following areas:
- Individual ultra-high-net-worth and family office wealth management clients;
- Private pooled investment vehicles, such as hedge and real estate-based private funds.
In addition, SEC-related experience is preferred, either within or handling matters involving the agency.
You must be ready to take on the daily challenges of managing legal and regulatory issues arising from Lido’s rapidly expanding national presence, managing nearly $20 billion of assets (increasing 30% year-over-year), and growing stable of in-house, affiliated, and third-party managed investment vehicles. You will work closely and collaboratively with the Chief Legal and Compliance Officer. Your track record of achievement and excellence through identifiable results in education and professional experience will be meaningful to us. Most importantly, we value diverse perspectives that will contribute to our team’s and our firm’s competitiveness, capabilities, and culture.
Duties and Responsibilities
- Excellent communication and advocacy skills to apply in advising senior executives and the firm as a whole on key compliance-related issues.
- Analyze qualitative and quantitative business, legal, and compliance issues and apply independent judgment to efficiently and expeditiously provide a wide range of deliverables to the Chief Legal and Compliance officer, senior members of the compliance team, and the senior executives at large.
- Value inclusiveness in a dynamic team environment, engage in robust deliberations and engagement, be fearless in defending your point of view, and accept that the process of finding the right answer requires open and direct dialogue.
- Embrace technology and innovation to address important compliance requirements.
On a technical basis, you will:
- Prepare and file investment advisor filings.
- Implement and maintain the compliance program to meet industry and regulatory standards.
- Prepare and maintain employee disclosure forms and assist in the organization and maintenance of required books and records.
- Review marketing materials and other client communications materials.
- Review and conduct due diligence of vendors and other third parties.
- Review and monitor valuation information.
- Monitor employee compliance via MyComplianceOffice.
- Conduct, in conjunction with the Legal and Compliance team, Annual Review process.
- Draft and distribute firm policies.
- Conduct regulatory audits as needed.
- Assist with surprise custody audits as needed.
- Conduct branch office audits.
Requirements:
- Bachelor’s degree or equivalent work experience required.
- A minimum of 3 years of investment advisory compliance experience required, SEC or related financial regulatory experience preferred.
- Demonstrable track record of excellence.
- Ability and agility to adjust to a highly competitive industry and fast-growing firm’s business priorities.
- Strong Excel, Word, and PowerPoint skills.
- Familiarity with Addepar and Salesforce is strongly preferred.
We are an equal-opportunity employer. All applicants will be considered for employment without attention to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran or disability status, or any other class protected by federal, state, or local law. In addition, we do not discriminate against qualified applicants with arrest or conviction records.
The successful candidate’s starting pay will be determined based on job-related skills, experience, qualifications, work location, and market conditions. The range below is an estimate and may be modified in the future.
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