CHIEF COMPLIANCE OFFICER

Position Description:

• Reports to President/CEO
• Responsible for the oversight and supervision of all compliance and regulatory matters concerning the company’s investment and recordkeeping services
• Responsible for identification of potential compliance vulnerability and risk in the organization; develops and implements corrective action plans for resolution of any issues; developments and implements procedures to avoid similar situations in the future
• Responsible to act as a liaison with legal and regulatory bodies on compliance-related issues.
• Responsible for the identification and interpretation of SEC, FINRA, ERISA, state, and other self-regulatory organization rules and regulations to ensure the firms policies and procedures comply with applicable laws, regulations, industry guidance and best practice

Qualifications:

• Minimum 10 years of investment management industry experience
• Bachelor’s degree in Business, Finance or other related field preferred
• Possess expert knowledge of the securities and investment advisers laws and regulations
• Consistent record of decision-making ability to optimize efficiencies
• Overall business approach to problem solving
• Strong, independent and strategic thinking skills
• Leadership level communication skills—internal and external
• Team player, with strong coaching and listening skills
• Knowledge of Relias strongly preferred
• ERISA experience preferred, but not required

Duties and Responsibilities (include, but not limited to):

• Develop, monitor and manage company’s compliance policies and issues, internally and externally
• Update and prepare required registrations and disclosure documents (Form ADV, U4, etc.)
• Perform compliance audits, surveillance/exception reviews
• Communicate with various legal and regulatory bodies to understand current and new rulings affecting the firm and its operations
• Ensure adherence to all required legal and regulatory certifications (CEFIX, etc.)
• Interact with and provide advice to Executive and Management team, including the implementation of risk mitigation strategies to enhance regulatory compliance
• Institute and maintain an effective compliance communication program for the company which includes the development and administration of compliance training to investment professionals and company management and team members
• Approve public communications, sales literature and advertising regarding any compliance and regulatory issues
• Participate in long-range, strategic planning, as ad hoc member of the Management Team
• Ability to build a culture of compliance through proactive interaction with team members; training and acting in role of internal auditor
• Ability to support our consulting efforts with interactions with clients, as necessary
• Ability to build and develop strong internal relationships with all team members, as well as external company contact and clients, when and where appropriate
• Provide anonymous and effective process for receipt of complaints from team members
• Responsible to act as an independent body to ensure that compliance issues or concerns are appropriately evaluated, investigated and resolved

Interested parties can review the job description and apply through the company's website at freedomonefinancialgroup.com/careers or send their resume to resumes@freedomonefinancial.com.