Chief Compliance Officer

Location: Clearwater, FL
Date Posted: 08-29-2018
Well Established Wealth Management Firm
(Clearwater/Tampa Bay, FL Area)
 
Expanding fast - Looking for a dedicated, expansion-driven
Chief Compliance Officer
 
 
 
About the firm:
 
Our client is a successful, well established wealth management firm, led by a team of experienced advisors and professionals with a unique vision in mind: to take financial planning and investment management to a higher standard of excellence.
 
As an independent firm, the firm is dedicated to providing truly objective advice to their clients, and they pride themselves on fostering relationships based on trust, unparalleled service, and integrity. Through their team’s commitment to upholding the highest ethical and professional standards, they provide independent advice tailored to our clients’ needs.
 
Location: Clearwater/Tampa Bay, FL Area
 
Your mission:
 
As the Chief Compliance Officer, you will oversee all issues associated with operating the business in compliance with all federal and state laws and regulations.  You will need to be detail oriented, well-organized, able to efficiently multi-task, and have impeccable prioritization skills.  You must possess excellent written and verbal skills, are a champion of managing change, and have the necessary skills to evaluate and mitigate risk within an organization.  Your intelligence, strategic thinking, superior problem-solving skills, and the understanding the importance of confidentiality will all be challenged.
 
Specific responsibilities & duties:
  • Responsible for firm compliance with all Securities & Exchange Commission (SEC) rules and regulations, including:
    • Annual / necessary updates to the firm ADV;
    • Ensures all SEC and FINRA registrations are current for the Firm and Advisors; handles any new registrations.
    • Notice Filings & U4 requirements.
    • Testing of compliance policies & procedures to ensure accuracy & appropriateness
  • Creation and implementation of firm-wide practice-based policies.
  • Creation and implementation of a firm:
    • Disaster Recovery
    • Business Continuity plan
    • Protocol for email handling
    • Compliance Manual
  • Keeps everything confidential and discloses information to only those who need to know.  Does not abuse the position and the positions ability to be exposed to confidential information of any kind.
  • Continual review and update of the Firm’s Compliance manual to ensure that compliance policies and procedures are comprehensive, robust, current, and reflect the firm’s business processes and conflicts of interest.
  • Maintain all books and records related to compliance procedures and practices.  This includes issues such as client files, paperless technology, document retention policies, and document management over the life cycle of a document.
  • Maintain a firm compliance calendar that identifies all important dates by which regulatory, client reporting, tax and compliance matters must be completed. 
  • Ensure that all persons within the firm are trained in compliance-related matters and are competently performing their various functions.
  • Provide timely and appropriate reviews of compliance related material and repetitive compliance issues.
  • Complete quality control testing to detect deviations of transactions from policies or standards, and that results of such tests are promptly addressed.
  • Conduct the Firm’s annual compliance review process and ensures that recommendations from the review are implemented in a timely fashion.
  • Act as the primary point person in any internal compliance audit and/or SEC audit.
  • Conduct monthly compliance updates with senior management.
  • Ensure proxy voting is done in compliance with internal proxy voting policy and procedures.
  • Keep up-to-date on regulatory matters (attends seminars, etc.).
  • Work with in-house and outside counsel.
  • Monitor all personal security transactions for access persons within the organization. 
  • Monitors continuing education requirements for management.
  • Monitors licenses for state insurances and designations.
Required qualifications:
  • Bachelor’s degree.
  • Minimum of three (3) years’ experience in the financial services industry with a concentration in compliance.
  • Series 7, Series 65, and Series 24 required.
  • Detailed knowledge of the intricacies of Investment Advisor Law; and federal securities laws and regulations.
  • Advanced Microsoft Office proficiency. 
Required personality and behavioral characteristics
  • Self-motivated and performance-driven.
  • Uncompromised ability to maintain confidentiality and integrity
  • Proven ability to identify, solve and prevent compliance issues.
  • Ability to clearly and effectively communicate and escalate issues to management.
  • Collegial and collaborative approach working effectively with others to build strong professional relationships.
  • Outstanding written and verbal communication skills with demonstrated ability to think analytically and strategically to solve problems and implement solutions.
  • Outstanding organizational skills, including prioritizing and follow-up.
  • Ability to handle competing demands and priorities.
 
Offered salary & other compensations:
Depending on your experience and performance record, we offer a base salary of $90,000 - $125,000 per year plus performance-based bonuses.
 
Additionally, we offer life and disability (100% covered); medical (partial); 401(k) with match.
 
IMPORTANT NOTE:
Thank you for applying through No Fail Hiring (we are the contracted recruitment support company). We will get in touch with you ASAP.
 
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