Chief Compliance Officer

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.

Bonus Points:

• Series 66, JD, Series 24 or 26

Benefits:

• 401(k)
• 401(k) matching and profit sharing
• Health insurance
• Life insurance
• Paid time off
• Wellness Benefit

Position Details:

Clearance: N/A

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

REF: JOB-4487