Chief Compliance Officer
About the Company
Well-established independent financial planning & investment advisory firm
Industry
Financial Services
Type
Privately Held
About the Role
The Company is seeking a Chief Compliance Officer to join their team. The CCO will be a key leader, responsible for managing all regulatory compliance matters and executing the firm's compliance program. This hands-on role involves providing the necessary leadership, management, and vision to ensure the firm adheres to compliance protocols and has the operational controls and procedures in place to support its growth. The ideal candidate will have a minimum of 10 years' RIA compliance experience, a Bachelor's degree (advanced degree preferred), and a deep knowledge of SEC rules and regulations. They should also be familiar with Finra and ERISA rules, and possess superior management, writing, communication, and technology skills. Key responsibilities for the Chief Compliance Officer include overseeing the firm's compliance program, leading the internal compliance team, and working with external service providers. The CCO will be tasked with developing and implementing policies and procedures to ensure compliance with all relevant laws, as well as maintaining documentation and overseeing regulatory filings. Regular compliance assessments, risk management, and collaboration with all departments to resolve compliance issues are also essential. The successful candidate will be expected to stay current on regulatory changes and work with external legal counsel as needed. An active and valid Series 24, 7, 4, 53, and 66 is highly preferred, and the role requires a professional who can exhibit accountability and leadership in all compliance functions.
Hiring Manager Title
President
Travel Percent
Less than 10%
Functions
Remote Opportunity for a Licensed Insurance Representative Are you passionate about helping others and achieving success as part of... ...the team Who We're Looking For: Previous experience with State Farm is a must for remote roles; in-house opportunities are...
...JOB SUMMARY: Perform complex and advanced assembly of products according to established specifications and instructions for successful daily operations of the business. ESSENTIAL FUNCTIONS: Read and analyze production and shipping orders to determine exhibit...
...America RN Weekend Float in the Twin Cities area - Dialysis Experience Necessary for this role Locations: Twin Cities, MN hospitals Job Type: Weekend RN, Full Time, Day Shift. Benefit Eligible Role. What you can expect: Be a part of a team that...
...Range: -$44.00-$55.00 $15,000 bonus for new teammates! DaVita is seeking a Registered Nurse who is looking to give life in a hospital setting. You can make an exceptional difference in the lives of our patients and their families dealing with end-stage renal...
...works for you. Whether youre looking for a side hustle or a full-time gig, delivering with DoorDash gives you the opportunity to earn... ...DoorDash is a great earnings opportunity for anyone looking for part-time, seasonal, flexible, weekend, after-school, temporary, steady...