Chief Compliance Officer (Possible General Counsel)

Written By Ingrid Nordskog

Trajan Wealth

Location: Scottsdale, AZ

Company Overview:

At Trajan Wealth LLC, we take a strategic approach to building and protecting our clients’ wealth and prosperity through customized solutions, financial education, personal attention and honest communication.

We provide financial services on a fee-only basis, acting as a fiduciary for our clients. Each member of our team fully embraces the importance of this role and what it means for our clients. Additionally, as an OBA, we solicit fixed insurance such as FIA products.

The decisions we make and the advice we provide are always in our client’s best interest. Our disciplined and objective investment and financial planning process provides trust and the peace of mind which is so highly valued.

Primary Responsibilities:

Trajan Wealth LLC is seeking a full-time Chief Compliance Officer and possible General Counsel (dual role) to develop the company’s overall Compliance strategy.

Chief Compliance Officer will be responsible for compliance of the RIA book which account for over $1 Billion in assets.

Responsibilities:

  • Provide leadership, strategic direction and oversight of the Legal and Compliance function

  • Drive a culture of compliance throughout the business

  • Develop and implement organizational policies and procedures

  • Monitor and review activities of business and support organization to ensure compliance with internal policies and regulations.

  • Act as a primary interface with regulators on Compliance matters

  • Establish and maintain strong working relationships as needed

  • Identify, facilitate, and/or implement changes to policies and procedures in response to changes in laws and regulations effecting the financial services and insurance industry.

  • Monitor compliance issues to resolution including issue identification, resolution plan determination and final resolution

  • Review, amend, and approve any and all marketing mediums which include websites, radio and television advertisements, print and mailers

Requirements:

  • Undergraduate degree and Juris Doctorate (JD) from an accredited law school (for dual role)

  • 10+ years of experience practicing law in financial markets; preference RIA industry

  • 5+ years of leadership experience

  • Previous employment experience with SEC or FINRA; highly desired

  • Technical expertise in FINRA, SEC and state rules and regulations

  • Experience in auditing, legal and regulatory compliance

  • High level problem-solving skills are required; problems are technically complex and require the collection, interpretation, and analysis of data from diverse sources

  • Strong ability to quickly implement strategy and establish previously used systems

  • Strong business acumen, exceptional problem solving, decision making and analytical skills.

  • Ability to excel in a fast-paced growing organization

  • Excellent written and verbal communication skills

  • Excellent computer skills including Microsoft Office – Word, Excel and PowerPoint

  • Experience utilizing or ability to quickly learn - TD Ameritrade, Schwab and Salesforce.

Compensation Package:

  • Competitive salary - $180,000 to $225,000 depending on experience

  • 401K

  • Medical, Dental, Vision, STD, LTD, Life Insurance and many other benefits available

Ingrid Nordskog
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