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Chief Compliance Officer

4 months ago

San Diego, United States Realta Wealth Full time

POSITION REPORTS TO: Kevin Keefe, CEO of Realta Wealth

 

POSITION TITLE: Chief Compliance Officer


LOCATION: San Diego, CA


COMPANY DESCRIPTION:

Realta Wealth

  • Registered in 50 states plus DC and Puerto Rico
  • 64 Branches
  • Founded: 1989
  • AUM: Over $2B
  • Number of Financial Professionals: 160
  • Accounts: 9,000+
  • Production: $325K Average
  • Top 10%: $750K Average
  • Employees: 45
  • Advisor Retention: 95+%
  • Business Model: Independent
  • Product Mix: Brokerage, Advisory, Alternative Investments, Insurance, Managing Broker-Dealer
  • #4 “Highest growth in producing reps” – Financial Planning Magazine’s 2022 IBD Elite rankings of independent broker-dealers, August 2022


 

Why is position open? Replacement

           

How long has it been open? Just became available

 

POSITION DESCRIPTION: Realta Wealth, a leading independent wealth management organization partnering with accomplished advisors is seeking an experienced and visionary individual to fill the role of Chief Compliance Officer. The CCO will be responsible for overseeing all aspects of regulatory compliance for our FINRA registered broker-dealer and SEC registered RIA. This individual will play a critical role in ensuring that our firm adheres to applicable laws, regulations, and industry standards, while also fostering a culture of compliance throughout the organization.


Responsibilities will include:

  • Implementation, execution, and maintenance of all compliance policies and procedures: Oversee and keep current all BD and RIA compliance policies and procedures to ensure alignment with regulatory requirements and industry best practices. Regularly review and revise policies as needed to reflect changes in all applicable laws and regulations.
  • Compliance testing and monitoring: Maintain and oversee a robust compliance testing and monitoring program to detect and address potential compliance issues. Efforts to include the production of detailed reports to ensure any/all findings are clearly documented with supporting evidence.
  • Regulatory engagement, examinations, and audits: Act as the primary point of contact and coordinator for regulatory inquiries and examinations. Responsibilities include coordination and management of regulatory examinations and audits and ensuring timely and thorough responses to inquiries and requests for information.
  • Regulatory filings and reporting: Manage the preparation and submission of regulatory filings and reports, including Form ADV, Form BD, Form U4/U5, and other required disclosures. Ensure timely and accurate completion of all regulatory filings.
  • Training and Education: Develop and deliver compliance training programs for employees and affiliated advisors to increase awareness of regulatory requirements and promote a culture of compliance. Provide ongoing education and support to employees on compliance-related matters.
  • Risk Assessment and Mitigation: Identify and assess compliance risks associated with our business activities and develop strategies to mitigate those risks. Implement effective controls and procedures to prevent and detect potential violations of laws and regulations.
  • Service provider reviews: Assess the adequacy of service providers' compliance policies and procedures and maintain a process to regularly review their policies and procedures and summarize.
  • Client Due Diligence and KYC/AML Compliance: Oversee client onboarding processes and procedures to ensure compliance with Know Your Customer (KYC) and Anti-Money Laundering (AML) regulations. Develop and implement risk-based procedures for conducting due diligence on clients and monitoring for suspicious activity.
  • Internal Investigations and Remediation: Investigate and address compliance violations, conflicts of interest, and other issues as they arise. Develop and implement corrective action plans to remediate compliance deficiencies and prevent recurrence.

 

 

BACKGROUND DESCRIPTION:

  • Education and Experience – Bachelor’s degree in Business Administration, Finance, Law or related field; MBA preferred; FINRA Series 7, 24, 63/66; proven experience as CCO or a similar role within the independent broker dealer industry.
  • Minimum of 15 years of experience in compliance roles within the financial services industry, with specific experience in broker-dealer and RIA compliance.
  • Thorough understanding of SEC, FINRA, and state regulatory requirements applicable to broker-dealers and investment advisors.
  • Strong knowledge of securities laws and regulations, including the Investment Advisers Act of 1940, and the Securities Exchange Act of 1934.
  • Excellent analytical, problem-solving, and decision-making skills, with the ability to interpret and apply complex regulations to business operations.
  • Effective communication and interpersonal skills, with the ability to collaborate with internal stakeholders, interact confidently with regulators, and productively engage with affiliated financial advisors.
  • Demonstrated leadership abilities and experience managing compliance teams and  functions.
  • High level of integrity, ethics, and professionalism, with a commitment to upholding the highest standards of regulatory compliance.
  • Will have experience with industry-leading clearing providers, including Pershing.
  • Experience with private markets solutions/alternative investments a plus.
  • Spotless compliance history.



Characteristics:

  • Have operated in the independent broker/dealer space.
  • Have an entrepreneurial spirit and a can-do attitude.
  • Demonstrate a willingness to provide hands-on support and embrace ownership of items through their completion.
  • Service oriented mindset and thorough appreciation for the independent financial professional.
  • “Inside/Out” person; can run a tight ship and build a service model yet work well with and win the respect of affiliated advisors.