Full TimeOn Site
Boutique wealth management firm is looking to hire a Head of Compliance! This person will manage the risk management and compliance function for the organization. This is a high exposure role that will work closely with the Executive Leadership team to scale the compliance function as the firm continues to grow. This role is both strategic and hands-on and the CCO must be comfortable rolling up his/her sleeves. Company also offers a fantastic work life balance, family-friendly culture, and highly competitive compensation/benefits package!
Responsibilities include:
- Developing, implementing, and enforcing policies and procedures in accordance with SEC, state, and federal regulations
- Cultivating a culture of compliance
- Assess risks to the firm and mitigate any exposure
- Advise wealth managers, financial advisors, and the investment teams on any compliance-related processes
- Establish compliance best practices throughout the organization
- Ensure timely regulatory filings, including Form ADV
- Serve as primary liaison during SEC and state examinations
- Develop and execute a risk-based monitoring and testing program
- Conduct annual reviews
- Monitor changes to industry regulations and ensure new regulations are properly incorporated
- Manage members of the compliance team
Requirements include:
- Bachelor's degree required, Master's degree or Law degree a plus
- 5+ years of experience in regulatory compliance
- Strong understanding of SEC regulations, including Act 1940
- Excellent communication and presentation skills
