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Chief Compliance Officer

Company: Century Group
Location: Anaheim
Posted on: September 12, 2020

Job Description:

Chief Compliance Officer Anaheim Direct Hire Finance Up to 145K 08/20/2020

Job Description:

Responsible for implementation and ongoing enhancements of the firm’s Compliance Program consistent with regulatory requirements

Help maintain robust Written Supervisory Procedures

Help maintain accuracy and adequacy

Supervision of portfolio management by advisors

Consult with outside compliance consultant

Perform all day-to-day investment advisory compliance tasks

Perform day-to-day operational

Assist Operations and Client Administrative transactions

Oversee Marketing/Advertising submissions

Responsible for implementing broker-dealer compliance functions

Oversee HR and Finance administrator

Manage onboarding and terminating employees

Oversee the maintenance of employee files and benefits

Maintain current firmwide HR policies to assure Labor Law Compliance

Oversee accounting and bill paying functions

Manage internal technology requirements and requests

Help maintain regulatory requirements and implementation of cybersecurity program and client confidentiality

Requirements:

Series 7 & 66 OR Series 65

Series 24 & 53 preferred

Proficient with the Microsoft Office Suite, including strong Excel skills

Strong analytical, problem-solving and organization skills

Excellent verbal, written and interpersonal communication skills

Able to communicate with professionals at all levels

Able to be discreet with confidential/sensitive information

Able to work independently and take initiative

Able to adapt to changing priorities

Able to work on multiple projects with accuracy and efficiency, while keeping to deadlines

Detail-oriented

A team player

Strong work ethic

Experience:

Bachelor’s degree in related field and a minimum of 3 years' relevant experience

Keywords: Century Group, Anaheim , Chief Compliance Officer, Other , Anaheim, California

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