Compliance Director
Summary
Arlington Family Offices is purpose built to independently advise complex, high net worth families. Arlington’s model is built on curating the very best people – people families can trust for generations to come. The firm advises on family assets exceeding $10 billion. The Compliance Director will work collaboratively with the Chief Compliance Officer and Compliance Manager to oversee and manage the firm’s compliance programs. Arlington has offices in both Birmingham, Alabama and Nashville, Tennessee. Clients are located throughout the country. The position could be filled in either office location or potentially through a remote work arrangement.
Essential Duties and Responsibilities
To successfully perform this job, an individual must be able to perform each essential duty satisfactorily. Please note that this position is not restricted to the responsibilities below, and the job scope and responsibilities are subject to change.
Partner with the Chief Compliance Officer to instill a culture of compliance, integrity, and ethical decision making across the firm.
Serve on the firm’s Compliance Committee.
Develop, evaluate, and maintain firm policies and procedures to ensure compliance with all applicable laws and regulations. Arlington is regulated by the Securities and Exchange Commission as well as the State of Alabama Banking Department.
Oversee compliance testing, training, and other review procedures designed to detect, prevent, and correct noncompliance.
Provide guidance on the effective response and/or corrective action to detected problems.
Continually evaluate firm compliance risks and develop appropriate mitigation and monitoring procedures.
Interact with regulators during scheduled exams and audits
Lead compliance projects and initiatives.
Research, interpret, analyze, and advise on matters related to regulatory compliance and fiduciary risk management. Identify, frame, and solve complex issues creatively, and convey advice clearly and effectively.
Exercise excellent judgment and maintain confidentiality.
Perform other duties as assigned.
Competencies
To perform the job successfully, an individual should demonstrate the following competencies:
Leadership—Inspires/influences/drives change. Gains consensus among diverging points of view. Takes an active interest in contributing ideas beyond own work. Role models optimal behaviors for team. Willing to take a stand, even when ideas are unpopular.
Teaming—Builds morale and group commitments to goals and objectives. Exhibits objectivity and openness to others’ views. Highly respected by all team members. Fosters a collaborative environment. Aids in the development of junior colleagues. Constructively gives and receives feedback.
Interpersonal Skills—Gains respect from all levels of the organization. Proactively builds and maintains positive relationships with internal and/or external clients. Interacts with diverse/new groups of people with ease. Navigates and resolves conflict in an empathetic, flexible, non-personal manner that promotes the Firm’s interests. Understands underlying dynamics and reacts accordingly.
Analysis/Decision Making— Innovative, creative in approach. Regularly plays devil’s advocate to own work. Avoids spontaneous reactions to issues and considers 2nd/3rd order effects and the long-term impact when making decisions. Remains objective and exhibits sound judgment throughout the problem-solving process.
Results Orientation—Confidently takes initiative, possesses logical reasoning ability, and achieves results. Independently reaches the “so what”. Goes beyond results to make solid recommendations. Develops practical action plans.
Self-Management—Successfully sets direction independently. Comfortable with autonomy/ ambiguity. Responds calmly to stressful situations, performs well under pressure.
Communication— Engages in articulate dialogue with senior management. Contributes with valuable, well-timed comments. Delivers presentations to groups with ease. Engages audience, projects self-assurance. Facilitates complex discussions with ease. Adapts approach based on on-the-spot feedback.
Client Service—Responds to all inquiries in a timely fashion; demonstrates that meeting client needs is a top priority. Successfully meets or exceeds all client commitments. Follows through to ensure client understands results.
Planning & Organization—Independently structures plan for work; begins with the end in mind. Identifies and solves potential process bottlenecks well in advance. Seamlessly floats between minor tasks and major priorities. Maintains optimal balance between digging in details and seeing the big picture.
Business Acumen—Understands in-depth how the Firm works, organizational structure, and roles. Knows how to navigate organization—consults relevant resources (people, data). Respected as a subject matter expert in the Firm.
Qualifications
The requirements listed below are representative of the knowledge, skill, and/or ability required to be successful in this position:
Education and/or Experience— Bachelor’s degree from four-year college required. Knowledge of SEC compliance regulations required.
Computer Literacy—Must possess strong working knowledge of PC environment and proficient knowledge of Microsoft Outlook, Word, and Excel.
Service Focus – Must enjoy working as part of a flexible work team in a dynamic, fast-paced, and demanding professional services environment
Procedure
To be considered for this position, interested candidates must submit a resume to Stephen Rowe at srowe@myafo.com.
Arlington Management Company, Inc. is an Equal Opportunity Employer.