HRJ5784 – Completed
Judson Group has been retained by a fee-only Wealth Management firm (RIA) in the search for a Chief Compliance Officer. The ideal candidate will have experience leading a similar firm’s compliance department.
This individual will provide leadership, management, and vision necessary to ensure that the firm is in accordance with compliance protocol, has the proper operational controls, administrative and reporting procedures, and systems in place to effectively grow the organization, ensuring financial strength and operating efficiency.
- Responsible for oversight of the firm’s compliance program, ensuring regulatory compliance with all policies and goals.
- Develop and implement policies and procedures designed to comply with all relevant laws, rules and regulations.
- Responsible for reviewing all documentation, marketing materials, reports, and social media to ensure proper disclosures and regulatory compliance.
- Works with all departments to resolve any compliance issues.
- Works with external legal counsel, as needed, with respect to guidance for the firm.
- Responsible for reviewing, upholding, and training regarding the firm’s Code of Ethics.
- Maintains ERISA bond.
- 10+ years of compliance experience within financial services. Experience at a Registered Investment Advisor (RIA) highly preferred.
- Bachelor’s degree; Advanced degree (MBA) preferred.
- Series 65 license required.
- Superior management skills including the ability to influence and engage direct and indirect reports and peers.
- Strong writing and communication skills.
Competitive base salary, profit sharing, and benefits
Location: Troy, Michigan
Reference Number: HRJ5784