Chief Compliance Officer - Investment Adviser

Davenport & Company LLC

Location: Richmond, VA

Department: Compliance

OVERVIEW

Davenport & Company LLC seeks a Chief Compliance Officer (CCO) for its Investment Adviser Division to join its growing team of experienced and dedicated professionals. The CCO – Investment Adviser is responsible for all advisory compliance and regulatory matters: Investment Advisers Act of 1940, the Securities Act of 1933, the Exchange Act of 1934, SEC and FINRA. The CCO will provide compliance advice, oversight and support for a dually registered broker-dealer and investment adviser. The CCO will also serve as the Compliance Officer to the Davenport Funds.

RESPONSIBILITIES

Responsibilities of this position include, but are not limited to:

-Overseeing all areas of advisory compliance and regulatory matters

-Preparing various regulatory reports, including SEC quarterly and annual filings, Form ADV Parts 1 and 2, and Form PF

-Serving as the Compliance Officer for Davenport’s five mutual funds, which requires regular reporting to the Board of Trustees

-Performing risk-based reviews of current advisory programs to identify areas for improvement

-Monitoring trading activity of access persons, mutual funds, separately managed accounts, and private funds

-Working closing with the Davenport Asset Management team on day-to-day matters regarding the Davenport Funds and Portfolios

-Overseeing the review and approval of advertising and RFPs

-Working with other members of the compliance team to ensure that compliance documents and Compliance Audit Program are current, and to identify and address areas for improvement

-Monitor and implement responses to regulatory developments that impact the business units

-Working and coordinating with regulators on audits

-Working closely with Senior Management and preparing reports related to advisory business

QUALIFICATIONS

Davenport seeks a highly motivated and capable professional with a demonstrated history of excellence. Successful candidates will present:

-10 years or more experience in a legal or compliance role, preferably in a dually registered broker-dealer/investment adviser

-Previous management experience; ability to lead a team

-Bachelor’s degree and/or equivalent experience

-Relevant industry registrations, including Series 65 or 66, 7, and 24. Series 9/10 a plus

-Proficiency in Investment Advisers Act of 1940 and the Investment Company Act of 1940; subject matter proficiency in proprietary mutual funds as well as private funds

-Strong technical skills and ability to understand complex compliance and business problems

-Organizational and follow-through skills, as well as excellent oral and written communication abilities

-Strong judgment skills, confidence-building attitude and diligent and conscientious work ethic

SALARY & BENEFITS

We offer a competitive salary and excellent benefit program, including safe harbor 401(k) contribution, profit sharing plan, disability and life insurance, high deductible health plan with an HSA, Paid Time Off, on-site Health Center and other benefits. We offer wellness programs and support a friendly and collegial culture, with company sponsored volunteer opportunities during business hours.

DAVENPORT IS AN EQUAL OPPORTUNITY EMPLOYER

Davenport & Company LLC provides equal employment and advancement opportunities to all colleagues and applicants for employment without regard to race, color, ethnicity, religion, gender, pregnancy/childbirth, age, national origin, sexual orientation, gender identity or expression, disability or perceived disability, genetic information, citizenship, veteran or military status, marital or domestic partner status, or any other category protected by federal, state and/or local laws.