Chief Compliance Officer

Florida-based RIA

TAMPA or REMOTE

Florida Based national RIA with approximately $1B in AUM is seeking an experienced Chief Compliance Officer (“CCO”) to oversee the compliance function for the firm.
Responsibilities include:
•       The ongoing development and maintenance of the Compliance Program along with training for the     firm
•       Ensuring the firm complies with all regulatory requirements and is following all of its policies and procedures;
•       Keeping abreast of regulatory developments impacting the firm;
•       Acting as the representative of the firm as its regulatory liaison including the management of audits and exams;
•       Working proactively to maintain a consistent approach to application of the compliance program throughout the firm;
•       Working closely with all employees and independent contractors (personnel”) of the firm in communicating the Program and answering inquiries from all personnel on a timely basis;
•       Monitoring and testing the policies and procedures through internal reviews and processes;
•       Maintaining all regulatory filings in a timely and accurate manner;
•       Conducting reviews of the firm’s advertising and marketing materials[RC1] ; and
•       Working closely with the appointed compliance vendor utilized by the firm.
Requirements:
•       Bachelor’s Degree
•       Minimum of 3 – 5 years in the role of CCO for an RIA
•       Very strong verbal and written communication skills
•       Strong understanding of the wealth management business and operations
•       Possesses sound judgment
•       Demonstrated creative problem solving skills
•       Ability to work independently in a fast-paced environment
•       Ability and commitment to confidentiality with respect to the firm’s and its clients’ affairs
•       Demonstrated integrity and commitment to the highest ethical standards
•       Accountable, adaptable, and flexible
•       Attention to detail & ability to multi-task
•       Willingness to learn and understand Canadian investment adviser regulations (as the firm is registered as an adviser in Canada)
Other:
•       This position may work remotely if located outside the Tampa area, however location in either the East Coast or Central time zones are highly preferred. Must be willing to travel at least once a quarter to the firm’s headquarters.
•       Benefits include employer paid cost of employee health, dental and vision insurance, employee life insurance, LTD as well as a 401K.
•       Generous PTO package.
•       Compensation will be commensurate with experience.

Please contact Richard Chen at rich@richardlchen.com if interested.

How to apply:

To apply for this job email your details to rich@richardlchen.com