Job Description

Our client, a Registered Investment Advisory firm with $1B+ in AUM/AUA is in search of a Chief Compliance Officer with a firm understanding of both SEC regulations and annuity / insurance products.

The right candidate for the role will understand the compliance needs of a wealth management firm with a high-volume of marketing activity driving new client acquisition.

Role:

• Under limited supervision, responsible for administration of the firm’s Compliance Program. This includes coordinating and managing all compliance functions for the RIA to ensure compliance with SEC, federal and state regulations as they apply to both the field and the home office.

Responsibilities:

• Set strategic and organizational structure for RIA compliance efforts regarding all security types and annuity products.
• Responsible for ongoing review, enhancement, and testing of the firm’s Written Supervisory Procedures.
• Serve as Compliance resource for entire organization.
• Lead liaison and communicator with internal and external attorneys, regulatory bodies, field sales management, sales persons and business units regarding compliance requirements, issues and plans.
• Actively manage arbitration/litigation docket.
• Actively undertake risk management activities.
• Oversee regulatory audits, examinations, investigations, and complaints.
• Member of the firm’s Investment Committee (due diligence).
• Develop and implement the firm’s internal and external Compliance training program.
• Interpret federal and state securities regulations and apply to business.
• Other duties as assigned.

Qualifications:

• Bachelor’s degree. Graduate degree preferred (Law or MBA).
• Minimum 10 years experience in securities industry compliance.
• Series 65 or 66.
• Extensive knowledge and experience with SEC regulations including but not limited to sales, operations, licensing, registration and state regulations.
• Knowledge and understanding of a broad range of securities and insurance products, types of qualified and non-qualified plans, and capital markets.
• 5+ years staff management experience.
• Experience with back office systems, including trading systems of third party clearing firms. Experience with Schwab clearing platform preferred.

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