Assistant Chief Compliance Officer

GWN Securities, Inc.

Location: Palm Beach Gardens, Florida

GWN Securities is a dually registered BD/RIA firm headquartered in Palm Beach Gardens, Florida with over 750 representatives across the United States offering a wide range of financial services and products. GWN’s primary business is the Retirement Plans industry focusing on mutual funds, variable annuities and RIA services. GWN does have a limited brokerage platform.

The Asst. CCO is responsible for all compliance and supervisory functions while being a liaison for the firm leaders and may designate other individuals for compliance assistance, such as maintaining logs, compliance research, etc. This role will serve as a key contributor to GWN’s growth and influence business processes and activities.

Responsibilities:

• Continually review, enhance, and structure the GWN compliance program to ensure compliance with applicable regulatory requirements and adaptation of GWN business, both current and future

• Effectively identify, communicate, escalate and resolve compliance matters as appropriate.

• Monitor for and analyze proposed and current regulatory requirements and interpretations that impact or may impact GWN.

• Oversee third-party compliance service provider’s tests of GWN’s compliance policies and procedures.

• Manage internal review of marketing, advertising, and client service-related materials for compliance with regulatory requirements.

• Maintain oversight of portfolio trading and investment activity against investment guidelines, restrictions, disclosures, and regulatory requirements.

• Provide training on regulatory and compliance related matters and requirements; oversee the preparation of regulatory filings.

• Manage SEC and branch examinations, and lead responses to any regulatory inquiries or requests

• Responsible for leadership, development, mentoring and team building among the compliance department.

• Oversee all regulatory filings, including Form BD, 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.

Requirements:

· 10+ years of combined compliance experience with a registered investment advisor and a registered broker-dealer, with most recent experience being a manager/team leader

· Experience overseeing SEC and other regulatory exams

· Compliance auditing experience

· CRD/IARD System knowledge

· Experience updating ADV/U4 and Policy Procedures

· Experience in managing, testing, monitoring and oversight of compliance policies

· Experience managing a team

· Exam Requirements 7, 24, 65 (other exams as needed)

Salary and Benefits:

· Competitive salary and compensation (based on experience)

· Medical Insurance

· Dental/Vision Program

· Life and Personal Accident Insurance

· Short term Disability Insurance

· Long-term Disability Insurance

· 401(k) Plan

· 4 weeks PTO and paid holidays