Job DescriptionOur client company is an established RIA firm with over 15 years in NJ that provides a full suite wealth management services. This is a permanent, 1/4-time 1099 position with a competative salary. The CCO plays an integral role in maintaining the organization's adherence to regulatory standards and internal policies while staying abreast of all regulatory developments and requirements. The CCO will manage examinations and communications with regulatory entities, handle regulatory filings, manage customer complaints, and perform ongoing compliance surveillance functions. Responsibilities:
- Build out the current administration of companywide compliance program
- Responsible for preparing, reviewing, and submitting regulatory filings in adherence to applicable laws and regulations
- Collaborate with Advisors and CEO to gather and verify necessary documentation, and maintain comprehensive records of all filings and communications related to regulatory compliance
- Oversee the day-to-day management of surveillance system of advisory and broker-dealer activities to ensure compliance with policies and procedures
- Develop and maintain best-in-class compliance program, policies, and practices
- Spearhead audits and examinations to assess and ensure adherence to regulatory requirement and internal policies
Qualifications:
- FINRA Series 7 Required, SIE, Series 14 and 24
- Bachelor's Degree
- 3-5+ years in regulatory compliance in retail investment advisory
- Ability to work independently as well as in a collaborative team environment.
- Demonstrated ability to build good working relationships
- Experience in creating and implementing compliance policies and procedures.
For consideration, please email your resume to ...@gogpac.com and call/text 203-###-####.All qualified applicants will receive consideration without regard to race, age, color, sex (including pregnancy), religion, national origin, disability, sexual orientation, gender identity, marital status, military status, genetic information, or any other status protected by applicable laws or regulations. GPAC (Growing People and Companies) is an award-winning search firm specializing in placing quality professionals within multiple industries across the United States since 1990. We are extremely competitive, client-focused and realize that our value is in our ability to deliver the right solutions at the right time.