Essential job responsibilities include but are not limited to:

• Serves as the firm-wide resource for all RIA risk & compliance topics
  1. Drives a culture of compliance across IMA Advisory Services, designing, implementing, and evolving systems and processes to identify and mitigate regulatory risks
  2. Serves as named Chief Compliance Officer for regulated entities within IMA Advisors
  3. Works closely with leadership of all RIA functions to ensure that systems and processes are designed with operational and compliance requirements in mind
  4. Starts from a solution-focused posture, focusing on how to achieve business results within legal and regulatory requirements
  5. Carefully balances a partnerly, service-minded relationship with operational staff and an independent, risk-minded stance on behalf of firm leadership
  6. Travels to existing IMA offices as required to build relationships and support teams, and extends/expands compliance infrastructure to new markets
  7. Selects and manages 3^rd party partners to enhance compliance capabilities
  8. Progresses role in conjunction with firm growth, and provides ongoing assessment of compliance resource requirements (i.e., largely an individual contributor on day one, potentially evolving into team leader over time)
  9. Works collaboratively with IMA Advisors management to identify division-wide compliance opportunities and to support divisional growth
• Training
  1. Works with 3^rd party partners and RIA staff to assess and deliver training programs in multimedia formats, and develops and maintains training courses and content
  2. Onboards new advisors and teams to IMA compliance programs
  3. Is primary resource for compliance questions
• Analysis
  1. Conducts periodic analysis of client accounts to identify potential compliance issues
  2. Conducts departmental analysis of compliance program elements to identify problems and opportunities to improve efficiency and effectiveness
  3. Researches and recommends new compliance program features/upgrades and coordinates resulting implementation
• Reporting - Client, Advisor and Department level
  1. Generates periodic and ad hoc compliance reports for RIA and IMA Advisors management, IMA finance, and general business decision support
  2. Assists advisors with client-specific reports and requests
  3. Drives business analytics on firm's entire book of business to identify trends, concerns and opportunities

Required Experience and Skills include but are not limited to:

• Bachelor's degree preferably in finance or related field
• 10-15 years' experience in wealth management industry required, focused on operations and compliance and possessing a deep understanding of the operational and compliance functions required in RIA and Broker-Dealer environments; individual insurance experience is preferred
• Demonstrates high levels of ethical behavior in accordance with professional and industry standards
• Fosters positive interactions between associates; acts as an example for others
• Strong communication skills, including the ability to effectively communicate technical information to a non-technical audience and to tailor communications with appropriate context for clients
• A critical thinker and problem solver with high degree of self-direction and attention to detail
• Supports and demonstrates IMA's core values
• Values and understands the importance of diversity, equity, and inclusion among all IMA associates