Chief Compliance Officer

Position Overview

The 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 Responsibilities

Compliance Program Oversight

• Develop, implement, and maintain the firm’s compliance program, policies, and procedures in accordance with SEC regulations and industry best practices
• Perform periodic reviews and testing of policies and procedures to ensure effectiveness and adherence
• Serve as the primary point of contact for regulatory examinations and inquires, including the preparation of responses and management of follow-up actions
• Completion of an annual review of the firm’s compliance program

Regulatory Monitoring and Reporting

• Stay current on regulatory changes and ensure timely implementation of new requirements
• Prepare and file regulatory reports including Form ADV, Form CRS, and other required disclosures

Risk Management

• Identify, assess, and mitigate compliance risks across the firm’s operations, including investment advisory services, marketing, trading, and client communications
• Coordinate annual insurance renewals
• Review and approve marketing materials, client communications, and disclosures to ensure regulatory compliance

Training and Education

• Conduct regular compliance training for staff and advisors to promote a culture of compliance and ethical conduct

Human Resources

• Development and maintenance of the firm’s employee handbook and compliance all labor laws
• Payroll processing
• Manage employee benefits, including health insurance program and 401(k) program

Minimum Qualifications

• Bachelor’s degree required; JD, or IACCP preferred
• Minimum of 5 years of experience in compliance within the investment advisory or financial services industry
• Deep understanding of SEC regulations, including the Investment Advisers Act of 1940
• In-depth knowledge of ERISA and Department of Labor requirements for investment advisers
• Experience managing compliance programs for RIA firms
• Strong analytical, organizational and communication skills
• Ability to work independently and collaboratively across departments
• Proficiency with compliance technology platforms and tools