Compliance Manager: Roswell, GA
Ronald Blue - Roswell, GA

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Compliance Manager Roswell, GA

Significant and Meaningful Career Opportunity!

About our Firm

Founded in 1979 and headquartered in Atlanta, Georgia, Ronald Blue & Co., LLC is one of the largest independent fee-only wealth management firms in the United States. We employ approximately 275 staff members, manage over $7 billion in investment assets, and serve more than 6,000 clients in almost all 50 states. (12/31/12). Our company exists to provide wisdom for wealth, based on biblical principles, so we can help our clients experience financial peace of mind and focus on what matters most in life. Through a network of 15 branch offices and four distinct divisions, the company provides financial services to clients across the wealth spectrum in these key areas.

• Comprehensive, fee-only financial & estate planning

• Tax preparation & business consulting

• Investment analysis & management

• Retirement Plan Services

• Philanthropic counsel & strategies for charitable giving

• Wealth Transfer Planning

Position Overview

We are currently seeking a Compliance Manager (CM) , in our National Office, located in Roswell, GA , who will assist the Chief Compliance Officer (CCO) in ensuring RB&Co.’s continuous compliance with all federal and state securities and investments regulations. The CM will assist the CCO in being responsible for the day-to-day oversight of all firm compliance policies and procedures including but not limited to:
  • Maintaining specific industry knowledge to ensure all activities of the firm meet regulatory requirements,

  • Monitoring and testing of branch office activities,

  • Identifying compliance risks and formulating recommendations to mitigate them,

  • Perform training to ensure that branch office personnel are trained on compliance policies and procedures and internal controls, and

  • Answering individual questions regarding client and firm compliance issues.

Desired Qualities and Skills
The successful candidate will also exhibit the following:
  • Strong desire to serve the corporate and branch offices with excellence

  • Demonstrated ability to be a self-starter and resourceful learner, and to have a solution-oriented mindset

  • Experience and understanding of internal audit procedures including conducting branch office examinations

  • Knowledge of monitoring, testing, and auditing techniques used and demonstrated ability to document the testing process, findings, and recommendations in order to demonstrate an effective compliance program is in place

  • Proven process development, problem-solving, and implementation skills

  • Strong communication abilities (both verbally and in writing)

  • High degree of comfort managing, focusing on, and working with a significant amount of detail

  • Ability to prioritize and complete multiple time-sensitive tasks according to schedule

  • Ability to evaluate regulations and RB&Co. business practices to apply the firm’s compliance policies

  • Prior experience leveraging technology to enhance efficiencies

  • Ability to enforce Compliance policies and procedures at all levels of the firm

  • Ability to excel in a team environment

  • Ability to travel to RB&Co. branch offices for onsite Compliance reviews. Expected amount of travel is approximately 4-5 weeks a year

Position Requirements
  • Bachelor’s degree, preferably in a business-related area of study.

  • A minimum of 8 - 12 years experience in the financial services industry, preferably in internal audit with a multi-location organization.

  • 3 - 5 years compliance experience with a Registered Investment Adviser or Broker-Dealer firm preferred

This position is located at our National Home Office which is located at:

300 Colonial Center Parkway, Ste. 300, Roswell, GA 30076

How to Apply

Please visit www.ronblue.com/careers to submit your resume and cover letter. Prior to applying for this position, please visit www.ronblue.com and review it thoroughly. Should you decide to apply after prayerful consideration, make sure to include a cover letter which includes your answers to all of the requested questions. Once you have applied for this position, please add ronblue.com to your email's spam filter 'white' list or 'safe senders' list. This setting is often found in your email account under Mail / Options. This will ensure that any correspondence from us will be received by your email in-box.

Ronald Blue - 14 months ago - save job - block
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About this company
Founded in 1979 and headquartered in Atlanta, Georgia, Ronald Blue & Co., LLC is one of the largest independent fee-only wealth...