Job Description

Job Description

Job Description

Purpose:

The Chief Compliance Officer is responsible for the Company’s compliance program while ensuring adherence to applicable laws and regulations. The CCO proactively oversees the Company’s compliance program to maintain compliance with legal and regulatory requirements. The CCO enforces the Company’s written compliance program and provides compliance guidance to cross functional departments’ processes, practices, and publications. The CCO also partners with team members to provide training, risk assessments, monitoring, and remediation.

Job Responsibilities:

• Support and manage the enforcement and enhancement of the Company’s compliance policies, programs, and procedures to comply with appliable laws and regulations under the Investment Advisors Act of 1940.
• Provide strategic leadership while leading and managing the compliance staff in their roles including coaching, mentoring, goal setting and accountability.
• Oversee the risk assessment process and administer compliance audits/testing designed to identify and mitigate regulatory compliance risk, including the Company’s Code of Ethics.
• Provide compliance training and guidance to team members.
• Oversee, maintain, and enhance a proactive culture of compliance throughout the Company, including by leading education and training efforts.
• Continually seek out and implement process improvements.
• Organize and coordinate follow-up remediation items with responsible parties and ensure prompt execution of tasks and resolution of issues.
• Actively analyze problems and implement corrective action.
• Respond to, coordinate, and manage regulatory filings, inquiries, and exams.
• Partner with the Company’s cybersecurity professionals to execute cybersecurity program.
• Manage the Company’s supervision and surveillance program according to existing policies and regulatory guidance.
• Examine and stay apprised of updates and developments in the regulatory environment, including legislation and proposed legislation, while providing guidance to Company management and developing strategies for compliance.
• Work with all other team members in a way that is conducive to the mission, values, and beliefs of the Company to provide service beyond expectations.

Knowledge, Skills, and Abilities:

• Ability to foster teamwork/leadership across various levels of the firm.
• Excellent oral and written communication skills with strong attention to detail.
• Able to identify or research needed information to provide guidance and strategy.
• Ability to build and maintain collaborative relationships across the firm.
• Strong ability to analyze problem situations and craft clearly defined action plans to mitigate risk.
• Possess a proactive mindset to foresee potential risks and ability to facilitate mitigation.

Experience:

• 5+ years in Financial Compliance preferred

Education:

• Bachelor’s Degree in related field; Business and/or Securities coursework preferred

Other:

• Series 65 preferred, or the ability to obtain Series 65

Hours:

• In-Office Monday through Friday; 8 AM to 5 PM
• Some occasional travel is required

Equipment Used:

• Standard office equipment
• Cloud-based storage software
• CRM software
• Microsoft Office Suite
• Expense reporting software

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