Chief Compliance Officer
Staley Capital Advisers, Inc.
Location: Pittsburgh, PA
Staley Capital Advisers, a federally-registered investment adviser managing over $2 billion in client assets, is hiring a Chief Compliance Officer. This is a senior-level position and requires 7+ years of related experience. Our new hire must be well versed in the Investment Advisers Act as well as applicable state and federal regulations such as AML, client privacy and protection of vulnerable persons. Additional duties based on candidate background and skill set. We are looking for a long-term commitment from someone who is enthusiastic about joining a small team of professionals focused on building lasting client relationships.
Staley Capital offers excellent working conditions and competitive pay with an annual bonus. New hires are immediately eligible for most benefits, which include health, dental and life insurance; a 3% company match for retirement; and flexible vacation time.
Requirements:
Minimum 7 years of RIA or broker/dealer compliance experience; a background in accounting or financial auditing is preferred
Able to research and interpret legal, regulatory and financial documents and apply principles to business practices as appropriate
Excellent written and verbal communication skills
Team player able to facilitate creative solutions and gain consensus when needed
Confident and professional demeanor
Detail-oriented and dependable
Primary Responsibilities:
Develop, maintain and implement a Code of Ethics and related policies and procedures to meet federal, state and contractual obligations.
Oversee all aspects of compliance with Code of Ethics and related P&P, including employee training, review of marketing material, conducting ongoing testing and updating P&P as appropriate.
Conduct and document annual compliance review and annual ERISA account review.
Draft all required RIA regulatory documents including Form ADV Parts 1, 2 and 3; ADV Part 2 Brochure Supplement; Forms D, 13F, 13G, H, PF, and U-4. Research and complete state filings as required.
Maintain accounting and partner records for a limited partnership; coordinate production of annual report and tax filings with outside accountants.
Draft/review contracts and legal documents for both the corporation and a limited partnership; draft director and shareholder consents.
Initiate and oversee cybersecurity controls and processes.
Participate in the selection of critical vendors and coordinate initial and ongoing due diligence; execute broker/dealer agreements.
Determine requirements and oversee creation and maintenance of required records for all facets of firm operations including RIA, limited partnership, human resources and corporate records.
Oversee HR policies and benefits including HSA cafeteria plan and retirement plan arrangements; research employee benefit insurance options; draft and distribute required notices.
Draft/update investment advisory contracts and related forms.
Draft template communications to clients for various scenarios.
Manage composites for use in marketing materials.
Additional Responsibilities may include:
Provide oversight of corporate finances including invoice approval, payroll and benefits, sales/use tax, generation of Form 1099s, production of financial statements, budget and expense projections, oversight of annual tax filings and creation and maintenance of shareholder records.
Research and select corporate insurance policies including ERISA bond, cyber and business premises coverage.
Assist in creation and drafting of RFP responses, corporate website and marketing materials.
Perform general office functions including selection and oversight of various vendors, fulfillment of staffing needs, maintenance of physical office space, large equipment purchases, etc.