Chief Compliance Officer

Paul Winkler Inc.

Location: Nashville, TN

We are a growing middle TN investment advisory firm with multiple offices and a multi-state practice.  We are an independent, fiduciary, fee based advisory firm and pride ourselves on educating our clients to Relax About Money®. 

We are seeking a hands on, pro-active Chief Compliance Officer to guide and oversee our compliance function. Reporting to the CEO,  lead and manage the compliance and ethics program for a state-licensed investment advisory firm licensed in Tennessee and other states. This is not a virtual position.

Responsibilities Include:

Identify compliance risks and manage compliance priorities; Monitor the effectiveness of established compliance processes, policies, procedures and controls and recommend and implement enhancements to comply with applicable law and other regulatory standards; Determine controls and metrics that enable operations in a manner that will meet compliance obligations; Maintain and nurture proactive and productive relationships with regulators, manage and respond to audit requests/exams/inquiries from regulators; Manage and coordinate all communications with regulatory bodies including preparation of regulatory filings, ensuring filings are accurate and complete; Work with all levels of employees and management, up to and including senior leadership to ensure that appropriate regulatory processes and controls are established and documented within the areas of responsibility.

Provide Compliance support for new product and business initiatives; Lead support and review of marketing activities to meet compliance obligations; extensive experience with advertising review preferred. Identify, evaluate and analyze the impact of regulatory issues and advise senior leadership; Provide guidance to all departments regarding compliance issues and implementation of new compliance requirements affecting the firm and its advisors and representatives; Identify, develop, organize, and deliver necessary compliance related training and communications; Conduct compliance audits, develop and implement corrective action plans Review customer inquiries, issues, and complaints and complete a thorough investigation where appropriate; Provide due diligence and oversight of outsourced vendors, including TAMPs, compliance firms, software vendors, etc. 

Requirements:

Extensive financial services compliance leadership experience in an investment advisory firm setting; Advanced knowledge of the Investment Advisers Act of 1940 and state securities laws, Graham-Leach Bliley, and related laws.   Essential qualification: Bachelor’s degree – Desirable: Advanced Degree (JD or MBA)

Extensive experience with securities advertising regulations and compliance preferred; Familiarity with QuestCE, Celltrust,  Redtail CRM, Global Relay®, Microsoft software preferred. Experience transitioning practice from state regulation to federal/SEC regulation preferred.

Pay commensurate with experience. 

For more information or to apply, see our website, www.paulwinkler.com; submit resumes to anne@paulwinkler.com.