POSITION SUMMARYThe Compliance Specialist plays a pivotal role in ensuring Oxford's adherence to regulatory requirements, particularly those set by the SEC, by providing comprehensive oversight of marketing material reviews, compliance testing and risk management efforts. This position also contributes to the design and enhancement of compliance analytics and regulatory reporting processes. Working closely with the Chief Compliance Officer and the Compliance Manager, supporting key functions across compliance, including program monitoring, examinations, associate training, and implementation of new regulatory initiatives.DUTIES & RESPONSIBILITIESCompliance
Conduct marketing and social media reviews to ensure alignment with SEC Marketing Rule requirements and broader regulatory guidelines
Support the development and implementation of new regulatory initiatives such as Reg S-P and the AML Program
Assist in the buildout and ongoing enhancement of our risk management program, including risk identification, tracking, and reporting
Contribute to the annual 206(4)-7 IA review, Form ADV updates, and ongoing RIA compliance obligations
Lead the execution of compliance program objectives for assigned area, products/services, and applicable regulations
Working with the Compliance Manager, oversee the compliance monitoring program and review activity to ensure it falls within established risk control limits
Maintain compliance calendars and logs
Coordination of associate onboarding and offboarding, including compliance training and Code of Ethics certification
Monitor ongoing Code of Ethics adherence
Conduct marketing and social media reviews to ensure alignment with SEC Marketing Rule requirements and broader regulatory guidelines
Support the development and implementation of new regulatory initiatives such as Reg S-P and the AML Program
Assist in the buildout and ongoing enhancement of our risk management program, including risk identification, tracking, and reporting
Exam, Audit and Testing
Participate in external audits and regulatory examinations, coordinating with internal departments and external resources, and compiling and preparing documentation and responses
Facilitate testing activities led by Compliance service provider
Develop and conduct internal testing and analyses, document findings and formulate recommendations
Work cross-functionally to support AI implementation efforts, monitoring for responsible and compliant use of AI in alignment with evolving legal and ethical frameworks
Assist in ascertaining training needs and help develop training based on gaps identified through compliance monitoring and testing
Assist Compliance Manager with the oversight of testing program led by Compliance service provider
General Compliance
Act as a compliance generalist, contributing wherever needed with flexibility, curiosity, and ownership
Communicate and socialize compliance program objectives to business partners to foster a culture of internal client service
Remain up-to-date on relevant regulatory changes and industry best practices to identify and mitigate potential compliance risks
Support the CCO and Compliance Manager on compliance, corporate projects and various reporting needs
Assist with training for Compliance team members and Oxford associates regarding systems, regulatory functions and processes
Implement projects and assignments as directed by the CCO and/or Compliance Manager
QUALIFICATIONS
Bachelor's degree in Business, Finance, Economics, or a related field is preferred; however, a combination of education, job specific certifications such as a Series 65 and relevant experience will also be considered
Seven to ten years of regulatory compliance or risk management experience at a broker-dealer or RIA.
Demonstrated working knowledge of the Investment Advisers Act of 1940 and SEC regulatory framework
In-depth understanding of relevant regulations, including but not limited to, anti-money laundering (AML), data privacy and securities laws
Extensive experience reviewing marketing and advertising for compliance regulations
Proven ability to thrive in a fast-paced, deadline-driven environment
Demonstrated flexibility and a proactive willingness to take on new and diverse responsibilities as the firm needs evolve
Display a strong desire to learn and deliver high-quality results
Effective at collaborating within a team setting while also capable of working independently
Proficient in Microsoft Office Suite, with knowledge of Excel
Strong attention to detail and ability to analyze complex information
Must have a positive, professional demeanor with the utmost respect for confidential matters.
Must have excellent written and verbal communication skills with strong interpersonal skills.
