Chief Compliance Officer
Laguna Niguel, CA US
The Chief Compliance Officer is responsible for all aspects of the compliance program and team members of the compliance team. This person will have significant input into formulating the compliance program and implementing any future changes as needed as regulations and requirements are modified.
- Maintain and improve the firm’s overall compliance program.
- Work with management to implement any changes as needed.
- Oversee advisor onboarding and compliance related data collection.
- Oversee advertising, presentations, social media and other forms of communication with the public.
- Conduct necessary risk and compliance testing including Rule 206(4)-7.
- Oversee, identify and document key processes, risks, and controls.
Compensation: 175K-200K+ and excellent benefits