Chief Compliance Officer

Chatterton & Associates

Location: Anaheim, CA

Hybrid SEC registered investment advisor with regional broker/dealer affiliation.

Fast paced and entrepreneurial environment

Firm Description:

Chatterton & Associates

SEC registered independent Registered Investment Advisor (RIA) with approximately $1 billion in AUM Affiliated with a regional broker/dealer (brokerage business constitutes less than 5% of revenue)

4 Financial Advisors (all CFP certificants), 2 registered assistants, 2 non-registered assistants Tax Team (under the RIA) with 5 tax preparers and 3 assistants Total headcount of 27 (currently, including part time workers)

Position:

Chief Compliance Officer, In Office (hybrid considered) Supervisor of Human Resources, Finance and Technology Reports to the President of the firm, Rob Chatterton

Compensation:

$120,000-160,000 (plus quarterly bonuses; pay negotiable depending upon qualifications) (larger range as less qualified candidates will still be considered, highly qualified candidates can negotiate higher if appropriate)

Responsibilities

  • Chief Compliance Officer

  • Responsible for implementation and ongoing monitoring of the firm’s Compliance Program consistent with regulatory requirements; member of the firm’s leadership team

Duties:

RIA Compliance:

Maintain robust and updated Written Supervisory Procedures (WSPs) Maintain accuracy and adequacy of Form ADV and Form CRS disclosures Supervision of portfolio management by advisors Consult with outside compliance consultants and experts as needed Interface with regulators during regulatory exams Perform day-to-day investment advisory compliance tasks per WSPs Perform brokerage supervision tasks in accordance with broker/dealer guidelines Support Operations and Client Administrative transactions Oversee Marketing/Advertising submissions Oversee tax business compliance in general with specific focus on the intersection of this business with securities law and requirements

Broker-Dealer Compliance:

OSJ Branch Manager Delegate with supervisory responsibility for OSJ branch office Interact with broker-dealer compliance and supervision departments Responsible for implementing broker-dealer compliance functions

Human Resources and Finance:

Supervise HR and Finance administration

Supervise onboarding and terminating employees Plan and adjust benefits and employee handbook with HR Director Oversee accounting and bill paying functions when needed

Technology:

Manage internal technology requirements and requests Interface with technology vendor Maintain regulatory requirements and implementation of cybersecurity program and information security in conjunction with technology vendor and securities rule requirements

Requirements:

  • Bachelor’s degree

  • 5 years of compliance experience with an SEC registered investment advisor

  • 2 years of experience with a FINRA member broker-dealer in a supervisory capacity Minimum 3 years of experience as a Chief Compliance Officer Prior management experience Strong leadership skills and strong team player

Licenses Required:

  • Series 7 & 66 OR Series 65

  • and Series 24; Series 53 preferred

  • Compliance and/or Financial Planning designations preferred (CSCP, IACCP, CFP, ChFC)

Skills Required:

  • Professional demeanor

  • Policy and Procedure Writing

  • Personal integrity and understanding of fiduciary responsibility Excellent written and verbal communication skills Excellent computer skills including ability to learn software Superior interpersonal/organizational/client service skills ADV submission and FINRA Gateway experience preferred

  • Characteristics Desired

  • Curiosity

  • Accountability

  • Leadership

  • Transparency

  • Proactivity

  • Problem solver

  • Analytical

  • Organized

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