Centurion Consulting Group
We are hiring a Chief Compliance Officer for a full time position in Hunt Valley, MD for independent Registered Investment Advisor (RIA).
What You’ll Do:
- Serve as the Chief Compliance Officer for our investment advisory firm, reporting directly to the firm’s Majority Owner and Managing Partner.
- Provide supervision for all access/supervised persons at the firm (currently 10 employees).
- Drive change and transformation necessary to succeed in a dynamic regulatory environment and enable growth strategies of the business lines.
- Manage SEC examinations.
- Review, update, and maintain the firm Policies or Procedures Manual.
- Review, update, and maintain the firm Disaster Recovery Plan.
- Regularly ensure that all employees abide by the firm’s Code of Ethics.
- Offer ongoing education and training for all team members, especially as new rulings are established.
- Serving as the firm’s internal reference for any compliance-related questions or issues, as well as a contact person for external compliance questions.
- Independently manage the SEC relationship, including all regulatory requests.
- Monitor state specific continuing education requirements.
- Partner with the executive leadership and others to identify key risks and mitigating actions.
- Maximize the tools and resources available to us from our third-party compliance consultant.
- Maximize the use of our compliance technology subscriptions (SmartRIA).
- In partnership with our Compliance Consulting Firm, support business teams (e.g., product, marketing, operations) with input on regulatory compliance considerations and implications of their work.
- Maintain the Written Supervisory Procedures (WSP) and Compliance Manual.
- Oversee the creation of trading desk/internal control procedures for Compliance and other departments.
- Leverage technology and third-party solutions to streamline compliance processes; evaluate existing providers to identify alternatives as needed.
- Monitor regulatory updates and implement such changes, when applicable, into the WSP and internal control procedures.
- Conduct and/or oversee periodic compliance testing and review following areas, among others: trading, trade reporting, review and approval of marketing, advertising, social media materials, and custody.
- Partner with other departments to manage the retention of regulatory books and records pursuant to regulatory and business requirements.
- Oversee completion of training, as required (e.g., Annual Compliance Meeting).
Who you are:
- Highly ethical and possess high integrity.
- Talented problem solver and risk manager, capable of understanding and internalizing business priorities and risk calibration.
- Ability to continually learn new skills, embracing change in the securities industry, while working for a rapidly growing firm.
- Capable of identifying conflicts of interest, followed by elimination, or documentation and mitigation.
- 7+ years of relevant compliance experience working for a FINRA or SEC regulated firm.
- Extensive knowledge of SEC rules and applicability of the rules to employee and firm activities.
- Knowledge and in-depth familiarity with trading, customer suitability, and fiduciary requirements and/or related areas is important.
- A solid understanding of the Investment Advisers Act of 1940.
- Experience with Annual Amendment Filings and well as requirements for Other Than Annual Amendment Filings of form ADV.
- Familiarity with Form ADV Part 1, ADV Part 2A and 2B, and Form CRS.
- Experience monitoring and evaluating employee activities – e.g., outside account monitoring, outside business activities, personal securities trading, electronic communications retention and surveillance, new hire onboarding, off-boarding, and other requirements to which a Registered Investment Advisor is subject.
- Series 66, JD, Series 24 or 26
- 401(k) matching and profit sharing
- Health insurance
- Life insurance
- Paid time off
- Wellness Benefit
US Citizenship or Authorization to work in US required
Travel: < 10% (CONUS)
Centurion Consulting Group, LLC is an Equal Opportunity Employer EOE M/F/D/V
No third parties or subcontractors