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