Chief Compliance Officer

Brighton, Michigan

|

Full Time

About Foguth Financial Group

Foguth Financial Group is a comprehensive financial planning firm located in beautiful, Downtown Brighton. Our organization is internally driven to exceed client experience expectations.

About This Role

We are currently looking for a Chief Compliance Officer, to assist in developing our own RIA. As the compliance leader and subject matter expert, the CCO is responsible for establishing standards and implementing procedures to ensure that the compliance programs throughout the organization are effective and efficient in identifying, preventing, detecting, and correcting noncompliance with applicable laws and regulations.

The CCO must provide reasonable assurance to senior leadership that there are effective and efficient policies and procedures in place, well understood and respected by all employees, and that the company is complying with all regulatory requirements. We are seeking candidates with previous experience in compliance to provide oversight of the Investment Advisers Act in accordance with the SEC. This is a senior-level position within the firm.

Essential Responsibilities:

• Provides oversight of RIA
• Develop and maintain policies and procedures and the overall design/maintenance of the advisory services compliance program
• Act as our appointed SEC regulatory liaison, managing regulatory audits and exams
• Proactively collaborates with other departments as needed to ensure compliance issues are addressed, investigated, and resolved
• Works with HR to develop an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers
• Consult with other departments on compliance, supervision, management, and complaint issues

Qualifications:

• 5 years or more of Compliance experience within an RIA
• Advanced knowledge of SEC regulatory environment
• Broad knowledge of securities laws and regulations
• Has management abilities to oversee the enhancement and implementation of firm operational processes and procedures
• Ability to work independently in a fast-paced environment
• Possesses a passion to help team members and clients
• Strong process and planning orientation
• Designs efficient systems, seeks productivity
• Ability to Enthusiastically support and promote firm Leadership Goals
• Must maintain client confidentiality; demonstrate integrity and code of ethics
• Accountable, adaptable, and flexible
• Attention to detail & ability to multi-task

Apply For This Job.

* Required

Max. file size: 50 MB.
Max. file size: 50 MB.

This field is for validation purposes and should be left unchanged.