Chief Compliance Officer

DESCRIPTION:

A New Jersey based SEC registered investment adviser (“RIA”) seeks candidates interested in applying for the role of Chief Compliance Officer (“CCO”) for a firm with 160 plus supervised persons. The RIA is an $8B billion AUM privately held firm that was founded in 1994. The firm provides customized financial planning and wealth management services to a broad array of clients, including high-net-worth individuals, family offices and other institutional clients. The RIA is a “hybrid” RIA with a number of its IARs dually registered with a large third-party broker-dealer.

Interested candidates should send their resume to the following email address: Chx394Hy@gmail.com.

The CCO is responsible for administering and supporting the RIA’s Rule 206(4)-7 compliance program, including, but not limited to, updating and maintaining the written policies and procedures and managing the compliance-related testing, reviews and risk assessment processes. The CCO will report directly to the Chief Risk Officer.

The specific responsibilities of the CCO include, but are not limited to:

• Manage the day-to-day administration of the RIA’s compliance program.

• Manage all dealings with any regulatory agencies.

• Review and approve client marketing, reporting and correspondence.

• Oversee all regulatory filings, including Form ADV (all parts) and Securities Exchange Act Section 13 filings.

• Manage the RIA’s Code of Ethics Platform and compliance with any related requirements.

• Assist in the review of electronic communications.

• Update and maintain all written compliance policies and procedures.

• Work with the Chief Risk Officer to design and implement clear operational, compliance and supervisory systems.

• Coordinate and conduct periodic continuing education and staff training.

REQUIRED QUALIFICATIONS:

Bachelor’s Degree. Minimum of five (5) to ten (10) years’ combined work experience with a registered investment adviser and a registered broker-dealer in a compliance role. MBA, JD or other graduate degrees are not required.

FINRA License Requirements. FINRA Series 7, 24 and 63 licenses (or obtained within six (6) months of hire).

The following are additional required qualifications. The candidate:

• Must have a working knowledge of the Microsoft Office suite of products.

• Should have excellent organizational, interpersonal and communication skills.

• Should have a multi-tasking ability to complete projects within tight time constraints and adapt quickly as needs change.

• Should have a strong commitment to excellence and attention to detail.

• Should have strong process and leadership skills.

• Should have an ability to develop effective working relationships with staff, peers and industry contacts in a team environment.