Compliance Officer

Written By Ingrid Nordskog

Homrich Berg

Homrich Berg ("HB") is a leading fee-only financial planning and investment advisory firm located in Atlanta, GA. Established in 1989, HB’s employees provide comprehensive financial planning and investment management services primarily to high-net-worth individuals.

Description of Position

The Homrich Berg Compliance Officer (CO) will provide leadership, direction, and oversight for compliance activities across the organization. This opportunity reports to our Chief Risk Officer.

Role and Responsibilities:

  • Formulate and communicate a strategic vision for compliance within the firm which effectively manages and mitigates risk, establishes proper controls, supports business initiatives, and protects the company from legal and regulatory risk.

  • Provide strategic direction for the Compliance department including employee selection, performance management, and development.

  • Co-chair Risk Committee by maintaining risk matrix, risk metrics, and risk reporting

  • Review and maintain firm compliance policies including the procedures and processes in response to changing regulations and financial industry trends or other needs

  • Create reports and conduct assessments to identify and monitor trends (internal and external)

  • Develop monitoring and testing program, conduct audits, and tests, and assess satellite office consistencies

  • Support the review of marketing material, including private funds

  • Create, manage, and deliver annual compliance training

  • Manage and respond to regulatory inquiries, also act as company liaison with regulators

  • Conduct Compliance orientations for new hires and ensure understanding of compliance requirements; consult, train, and communicate Compliance matters to the organization on a regular basis

  • Research regulations and communicate any findings with the management team

  • Responsible for maintaining and updating Regulatory documents (FORM ADV, FORM PF)

  • Manage Compliance systems, surprise custody exams, vendors, insurance policy renewals

Requirements

  • Bachelor’s degree required; business-related field preferred

  • 10-15 years of compliance experience in the financial services/investment industry

  • Specific compliance knowledge in working with the Securities and Exchange Commission (SEC) and/or Financial Industry Regulatory Authority (FINRA)

  • Excellent communication and writing skills.

  • Strong attention to detail

Ingrid Nordskog
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