We are representing an established wealth management firm in their search for a Chief Compliance Officer.
Why Join Us:
- Firm established for over 30 years with impressive growth
- Opportunity to continue development of best-in-class compliance program while partnering with business leaders
- Top down support of compliance program from executive level
- Great team culture of collaboration, flexibility and rewarding great individual and team performances
Expectations first 12 months:
- Learn the business and establish yourself as a trusted advisor to colleagues at all levels of seniority
- Continued implementation of company-wide compliance policies, procedures, controls and standards
- Partnering with several business leaders in tailoring compliance program to business operations and objectives
Responsibilities:
- You will be responsible for establishing standards and implementing procedures to ensure that the compliance programs throughout the organization are effective and efficient in identifying, preventing, detecting, and correcting noncompliance with applicable laws and regulations
- Design and oversee appropriate forensic testing with respect to all relevant firm policies
- Direct and monitor relationships with compliance vendors that provide support to the firm’s compliance program
- As needed, update internal compliance policies and procedures in connection with compliance reviews, test results, or changes in applicable laws, rules, or regulations
- Oversee all aspects of dissemination of new and updated compliance standards and procedures by maintaining and implementing a consistent and effective training program
- Execute the firm’s Annual Compliance Review, presenting results to the COO, Operations & Compliance Committee and Partners of the firm
- Serve as main point of contact to SEC and any other regulatory or self-regulatory agencies
- Identify, communicate, escalate and/or mitigate all compliance-related issues and risks to the firm
- Manage and work with auditors, legal or compliance counsel on compliance related items
- Stay informed on changes to federal and state securities laws and regulations that affect the firm by attending conferences and reading relevant industry news
- Ensure all regulatory filings and compliance regulatory requirements (ADV, Firm Brochure, CRS, Privacy Notice, 13F/13H, etc.) are filed on-time and are accurate
- Obtain necessary information to meet the annual custody audit requirements and other regulatory filings
- Maintain CRD/IARD memberships and any other compliance related memberships
- Approve employee trades and demonstrate oversight and control over the Code of Ethics policies and procedures
- Draft Standing Operating Procedures as necessary
- Meet any DOL necessary requirements as it relates to the firm’s ERISA accounts
- Track firm’s compliance related issues such as errors & omissions as Items of Interest in the firm’s compliance software solution
- Maintain and implement employee certifications
Requirements:
- Extensive RIA compliance experience including exposure to ‘40 Act compliance
- Qualification: Essential Bachelor’s Degree and JD desirable
Application Process for Chief Compliance Officer:
Qualified professionals should submit resume to Steve Harrison at: steve@conselium.com
Published by Conselium Executive Search, the global leader in compliance search.
