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