Chief Compliance Officer

Written By Ingrid Nordskog

Keel Point

Location: Huntsville, Alabama

Keel Point is currently seeking an experienced Chief Compliance Officer to join our existing team in Huntsville, Alabama. Keel Point serves a wide array of clients with the highest levels of financial fiduciary excellence.

Pay: From $175,000.00+ per year

Job Type: Full-time

Keel Point LLC Overview

Keel Point serves a wide array of clients with the highest levels of financial fiduciary excellence. The Keel Point team of financial advisors have the most comprehensive tools for investment management, generational wealth management, wealth planning and retirement planning right at their fingertips. With over 85 dedicated team members across seven offices, Keel Points financial advisors match with clients to design and implement the services best suited for their lifestyles now and in the future.

Job Description

Keel Point is looking for a highly motivated and experienced Chief Compliance Officer (CCO) to oversee the broker dealer, RIA and Insurance agency compliance. This position will oversee and lead the Compliance department for the firm. He/She will lead all compliance issues along with regulatory interaction and audit functions.

This position will be responsible for developing, implementing, communicating, and reviewing corporate policies, procedures, trends and systems designed to enable the broker dealer and RIA to effectively manage risk and remain in Compliance with the various regulatory authorities. The CCO will be responsible for ensuring that Keel Point’s reporting complies with regulatory requirements and firm’s policies and supervisory procedures.

Qualified candidates will have 10 or more years of direct experience managing the compliance program/department for a broker dealer, RIA and Insurance Agency. Familiarity with ERISA rules and regulations and how it relates to the broker dealer and RIA compliance is essential.

Essential Job Duties & Responsibilities

  • Formulate and communicate a strategic vision for compliance within the broker‐dealer and RIA 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.

  • Review and maintain firm compliance policies including the WSP’s in response to changing regulations and financial industry trends. Additionally, Identify and monitor trends in internal and external and assess their impact on the organization.

  • Participate in and manage branch office and register representative audits and inspections.

  • Support the review of advertising material, sales literature and correspondence for internal/external registered representatives and IAR’s.

  • Create, manage and deliver annual compliance trainings (Firm, Regulatory, AML, etc.)

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

  • Consult with Keel Point sales, marketing, RIA, operations and other departments on compliance, supervision, management, and complaint issues

  • Research regulations and communicate any findings with the management team, field advisors, their office staff, and internal employees.

  • Prepare annual reports for CEO of Keel Point.

  • Give compliance updates at all Keel Point board of director and shareholder meetings

  • Responsible for maintaining and updating the Keel Point RIA ADV

Qualifications

  • Education: Minimum of a Bachelor’s Degree; Master’s Degree Preferred.

  • Licenses: FINRA Licensed Series 7, Series 24, Series 63; Series 65/66 License Preferred

  • Experience: Minimum of 10+ years’ experience in the financial industry.

  • Knowledge and Skills: Effective organizational and communication skills, knowledge of Microsoft Office products with a preferred working knowledge of Fidelity (Wealthscape) platform.

  • Strong verbal and written communication skills

  • Strong attention to detail

  • Highly organized

  • Ability to multitask efficiently and effectively

  • Knowledge of the financial services industry

We offer:

  • Keel Point offers competitive compensation, paid time off, medical, dental, vision and life insurance, health savings account, flexible spending account, short and long-term disability, and employer contributions to 401(k)

  • Salary commensurate with experience

Benefits:

  • 401(k)

  • 401(k) matching

  • Dental insurance

  • Employee assistance program

  • Health insurance

  • Health savings account

  • Life insurance

  • Paid time off

  • Vision insurance

Ability to commute/relocate:

  • Huntsville, AL 35801: Reliably commute or planning to relocate before starting work (Required)

Willingness to travel:

  • 25% (Preferred)

If you are interested in this position, please send a resume to Sandra Stephens, COO/CFO, at sstephens@keelpoint.com.

Ingrid Nordskog
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