Chief Compliance Officer to Registered Investment Advisor firm to maintain the company's overall Compliance strategy. Will be working with third party counsel as needed. Responsible for compliance of the RIA book of accounts for over $400M assets under management.
Drive a culture of compliance throughout the business.
Develop and implement organizational policies and procedures.
Monitor and review activities of business and support organizations to ensure compliance with internal policies and external laws and regulations.
Act as a primary interface with regulators on Compliance matters.
Establish and maintain strong working relationships as needed.
Review, amend, and approve any and all marketing mediums which include websites, radio and television advertisements, print and mailers.
Establish and monitor compliance of 8 offices in 8 states.
Identify and implement changes to policies and procedures in response to changes in laws and regulations effecting the financial services industry.
Make necessary and timely filings with the SEC.
Performs other duties and responsibilities as assigned.
Bachelor's Degree from accredited university in Business, Finance or related field required. Master's Degree preferred.
Minimum of ten years experience.
Thorough knowledge of SEC rules and regulations desired.
Experience utilizing or ability to quickly learn TDAmeritrade, Axys, Moxy, Redtail.
Previous employment experience with RIA desired. Series 65 license a plus.
Competitive Salary - $80,000
401K after one year employment, fully vested
Medical, Dental, Vision, and Life Insurance along with other benefits available.