Description: Position OverviewThe Chief Compliance Officer is responsible for the development and maintenance of the firm's compliance program. The position is also responsible for preparation and submission of the firm's regulatory filings and the preparation of the firm's client services agreements. The position also oversees the firm's human resources function, including human resources compliance, payroll and employee benefits.Primary ResponsibilitiesCompliance Program OversightDevelop, implement, and maintain the firm's compliance program, policies, and procedures in accordance with SEC regulations and industry best practicesPerform periodic reviews and testing of policies and procedures to ensure effectiveness and adherenceServe as the primary point of contact for regulatory examinations and inquires, including the preparation of responses and management of follow-up actionsCompletion of an annual review of the firm's compliance programRegulatory Monitoring and ReportingStay current on regulatory changes and ensure timely implementation of new requirementsPrepare and file regulatory reports including Form ADV, Form CRS, and other required disclosuresRisk ManagementIdentify, assess, and mitigate compliance risks across the firm's operations, including investment advisory services, marketing, trading, and client communicationsCoordinate annual insurance renewalsReview and approve marketing materials, client communications, and disclosures to ensure regulatory complianceTraining and EducationConduct regular compliance training for staff and advisors to promote a culture of compliance and ethical conductHuman ResourcesDevelopment and maintenance of the firm's employee handbook and compliance all labor lawsPayroll processingManage employee benefits, including health insurance program and 401(k) programMinimum QualificationsBachelor's degree required; JD, or IACCP preferredMinimum of 5 years of experience in compliance within the investment advisory or financial services industryDeep understanding of SEC regulations, including the Investment Advisers Act of 1940In-depth knowledge of ERISA and Department of Labor requirements for investment advisersExperience managing compliance programs for RIA firmsStrong analytical, organizational and communication skillsAbility to work independently and collaboratively across departmentsProficiency with compliance technology platforms and tools Requirements: Compensation details: 00 Yearly SalaryPI93c33d5c2f2f-0779
Not specified in the original listing.
Not specified in the original listing.
