Job Description

Join Western & Southern – Somewhere You Want to Be

At Western & Southern, is somewhere to grow, lead, win and do good for others. Our supportive culture, continuous learning opportunities and connection to our local communities make our company the ideal place for a career. For more than 135 years, our long-term success is fueled by a deep commitment to customer service and our community.

Ranked #29 on the American Opportunity Index (AOI), Western & Southern is among the top 100 companies for career growth. We are dedicated to empowering our associates and helping them maximize their talents. We take pride in our award-winning talent development team and our recognition as a Top 10 Military Friendly Employer and Top Spouse Employer.

Our Culture: Excellence and Collaboration

Western & Southern is built on a culture of integrity, top-notch performance, teamwork and collaboration. We’re committed to hiring and developing professionals who strive for excellence, demonstrate strong ethics and make fact-based decisions. Our associates are empowered to chase their career dreams while being supported every step of the way.

A Day in the Life of a Compliance Officer, Investments/Risk Management

The Compliance Officer, Investments/Risk Management is an experienced sole contributor that assists the chief compliance officer (CCO) in the management of compliance processes in support of Fort Washington Investment Advisors. This individual partners with the CCO and senior management in the development and application of strategic vision for the culture of compliance for a SEC registered investment adviser. The primary focus of this position is to ensure compliance-related investment and quality assurance processes are managed and regulatory and client risks are sufficiently mitigated in a timely manner. Assists in the management of compliance oversight related to client's investment policy statements including social and environmentally responsible investing and remediate areas of non-compliance.

Duties and Responsibilities

• Institutes compliance rules on trading systems based on client investment restrictions/objectives.
• Conducts trading and client investment policy surveillance on a regular basis.
• Completes regulatory filings to help ensure compliance with regulatory requirements.
• Reviews employee, rep/adviser, private funds, and client account activity to identify compliance issues.
• Advises Compliance management of compliance issues and recommends corrective actions. Confirms facts and provides deliverables and resolution of issues with middle management.
• Reviews new products and marketing, advertising, and communications materials to ensure compliance with regulatory requirements.

Desired Competencies and Skills:

• Bachelor's Degree (Required)
• Advanced degree such as M.A., M.S., MBA, or J.D. (Preferred)
• Typically requires 5+ years of relevant experience.
• Demonstrated high degree of experience in developing regulatory reports.
• Demonstrated experience in conducting reviews of compliance certifications, agreements and regulatory procedural documents to determine gaps and opportunities for improvement.
• Proven high degree of knowledge of SEC, and state securities rules and regulations, to include researching and interpreting regulations and how they apply to supported business channels.
• Demonstrated high degree of knowledge of investment products/securities.
• FINRA Series 7, 24, 63 or 65/66 or willingness to obtain upon hire (Preferred)

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Premier Benefits to Support YOU

We offer a comprehensive benefits package, including:

• Medical, dental, vision, and life insurance.
• 401(k) savings plan with pension options.
• Paid time off increasing with tenure.
• Tuition reimbursement and individualized career development plans.
• Parental leave and maternity leave with a 4-week transition back to work.
• Access to on-site amenities like a fitness center, cafeteria and more.
• Extensive employee discount program.

Western & Southern is not just a place to work, it’s somewhere to grow, lead, win and make a difference in your career and community.

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