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Chief Compliance Officer

Concorde Investment Services
3.5 out of 5
19500 Victor Parkway, Livonia, MI 48152
Hybrid work
$100,000 - $150,000 a year - Full-time

Location

19500 Victor Parkway, Livonia, MI 48152

Benefits
Pulled from the full job description

  • 401(k)
  • 401(k) matching
  • Dental insurance
  • Employee assistance program
  • Health insurance
  • Paid time off
  • Vision insurance

Full job description

Chief Compliance Officer

JOB DESCRIPTION: This position reports to the President of the broker-dealer and the President of the investment adviser and will have Compliance oversight of the broker-dealer and investment adviser activities.

The company is located in Livonia, Michigan. Qualified local candidates are preferred, but we will consider qualified candidates in other locations who are willing to travel on at least a quarterly basis.

The individual who fills this position will hold the following key responsibilities:

Roles and Responsibilities:

  • Member of the Executive Team, and Due Diligence and Investment Committees, responsible for day-to-day guidance in compliance areas of the firms.
  • Responsible for managing the compliance program for the firm to ensure policies and procedures are adequate in areas including, but not limited to creation, maintenance and enforcement of policies such as broker-dealer and investment adviser Written Supervisory Procedures, Code of Ethics, Record Retention, Privacy, Anti-Money Laundering (“AML”), Business Continuity and Identity Theft Protection Policies.
  • Lead compliance team through annual and quarterly goal setting, measurement of key performance indicators and regular meetings.
  • Supervise and conduct compliance reviews and regular risk assessments, coordinate independent inspections, provide guidance regarding concerns discovered and ensure reviews and corrective action are documented.
  • Regularly report risks discovered and progress in mitigation to senior management of the firms.
  • Collaborate with the General Counsel on and contribute to annual reports to senior management and the board.
  • Assist firm personnel in creating, implementing and documenting corrective action to eliminate risks.
  • Responsible for maintaining and updating systems for filing and maintaining Firm records in compliance with applicable regulations, including supervision of regulatory filings.
  • Receive and log customer complaints received by the compliance department and supervise required regulatory filings.
  • Liaison with state and federal regulators for regulatory inquiries, examinations and other routine and specific requests.
  • Collaborate with senior management on issues including strategic growth of the Firm.
  • Other tasks and projects as needed.

Abilities Required

  • At least five years of Chief Compliance Officer experience, with experience in alternative investments and independent broker-dealers preferred.
  • Management and leadership experience with a desire to continue to grow and learn new techniques.
  • Significant experience and knowledge of compliance, suitability issues, securities products including complex alternative products, insurance and advisory business.
  • Strong knowledge of FINRA, SEC and state rules and regulations.
  • Strong computer skills required, including solid ability using MS Outlook, MS Word, and · MS Excel as well as other internal systems.
  • Excellent oral, written communication skills and pleasant attitude toward clients.

Minimum Licensing and Requirements: Undergraduate degree, FINRA Series 7, 24, 63 and 65 (or 66).

Additional Preferred Licensing and Requirements: FINRA Series 4 and 53

Job Type: Full-time

Pay: $100,000.00 - $150,000.00 per year

Benefits:

  • 401(k)
  • 401(k) matching
  • Dental insurance
  • Employee assistance program
  • Health insurance
  • Paid time off
  • Vision insurance

Physical setting:

  • Office

Schedule:

  • Monday to Friday

Experience:

  • chief compliance officer: 5 years (Required)

License/Certification:

  • Series 7 and Series 24 (Required)

Work Location: Hybrid remote in Livonia, MI 48152