Chief Compliance Officer
3 months ago
Position Description
Title: Chief Compliance Officer (CCO) & Operations Manager
Benefits: Yes
Status: Full-Time
Date: July 24, 2024
Job Summary
Scarborough Capital Management is an independent wealth management firm located in Annapolis, Maryland that provides active investment management and financial advisory services for approximately 4,000 clients around the country. We have an immediate opening for a compliance professional to take on the role of CCO for the organization and assist in the day-to-day running of the organization.
Scarborough capital is an independent RIA with a broker/dealer affiliation.
Duties and Responsibilities
- Assume the responsibility of CCO from an outsourced compliance consulting firm. Working with them to transition their services to their CCO support model.
- Developing, implementing, and enforcing compliance policies and procedures ensuring policies and procedures are always up to date with current, new or amended laws and regulations; leading programs including annual firm compliance reviews and employee compliance training programs.
- Be the main point of contact for all compliance and regularity inquiries
- Oversee the daily operations of the business and improve procedures and processes.
- Leading and motivating staff. Mentoring employees
- Coordinate recruitment and hiring for open staff positions
- Establish policies to improve company culture
- Collaborate with the firms partners and become part of the management team to find strategies to improve the company’s performance
- Implementing and enforcing the Code of Ethics
- Conduct compliance review of all marketing materials and client communications
- Provide primary oversight and supervision of the Investment Advisers Act of 1940 and any rules adopted by the SEC under the Act, to prevent violation by the firm.
- Coordinate with the firm’s IT staff to oversee and monitor the effectiveness of cyber-fraud defensive measures.
- Annually file and amend the firms ADV to ensure compliance with SEC filing requirements
- Work closely with the broker/dealer’s compliance department.
- Supervise all securities transactions of the firm. Mutual funds, ETF’s, annuities, REITS, insurance products, etc.
- Responsible for licensing of the IAR’s for both securities and variable annuities in most states
Qualifications
· 5-10 years’ experience working in Compliance/Supervision of the securities industry.
· Series 7, 65/66, 24 (a plus)
· Bachelor’s Degree in business related major.
· Detail-oriented, accurate, organized, able to set priorities
· Strong communication skills
· Team player
· Desire/ability to work successfully in a small company environment
Salary and Benefits
Pay/benefits are competitive based on industry standards.
· Salary will be commensurate with experience and is negotiable.
· Benefits include dental, vision, health care, life insurance, 401(k), and 401(k) matching.
· Partial and/or full financial support for professional accreditation/continuing education requirements and other education/training opportunities
Scarborough Capital Management is an Equal Opportunity Employer
-
Chief Compliance Officer
4 weeks ago
Annapolis, Maryland, United States Scarborough Capital Management Full timeJob Title: Chief Compliance OfficerScarborough Capital Management is seeking a highly skilled and experienced Chief Compliance Officer to join our team. As a key member of our management team, you will be responsible for ensuring that our firm operates in compliance with all relevant laws, regulations, and industry standards.Key Responsibilities:Develop,...
-
Chief Compliance Officer
6 days ago
Annapolis, Maryland, United States Scarborough Capital Management Full timeJob SummaryScarborough Capital Management, an independent wealth management firm, seeks a seasoned compliance professional to assume the role of Chief Compliance Officer (CCO). As CCO, you will be responsible for developing, implementing, and enforcing compliance policies and procedures to ensure the firm's adherence to regulatory requirements.Duties and...
-
Chief Compliance Officer
3 weeks ago
Annapolis, Maryland, United States Scarborough Capital Management Full timeJob SummaryScarborough Capital Management, a leading independent wealth management firm, is seeking a highly skilled Compliance Officer to join our team. As a key member of our management team, you will be responsible for ensuring the firm's compliance with regulatory requirements and developing policies and procedures to mitigate risk.Key...
-
Chief Compliance Officer
7 days ago
Annapolis, Maryland, United States Scarborough Capital Management Full timeAbout the Role:We are seeking a highly skilled Compliance and Operations Manager to join our team at Scarborough Capital Management. As a key member of our management team, you will be responsible for ensuring the firm's compliance with all relevant laws and regulations, as well as overseeing the day-to-day operations of the business.Key...
-
Chief Compliance Officer
2 weeks ago
Annapolis, Maryland, United States Scarborough Capital Management Full time{"title": "Compliance and Regulatory Role", "description": "Scarborough Capital Management is a leading independent wealth management firm seeking a highly skilled Compliance and Regulatory professional to join our team. We are committed to providing active investment management and financial advisory services to our clients, and we are looking for a...
-
Chief Data Officer
2 weeks ago
Annapolis, Maryland, United States St John's College Full timeJob SummaryThe Chief Data Officer is a strategic leader responsible for the College's institutional research functions, including strategic planning, data governance, compliance reporting, accreditation support, and research initiatives. Reporting directly to the Collegewide President, the CDO works collaboratively with senior leadership, faculty, staff, and...
-
Chief Operating Officer
7 days ago
Annapolis, Maryland, United States National Association of latino Arts and Cultures Full timeJob Summary:The National Association of Latino Arts and Cultures seeks a seasoned leader to serve as its Chief Operating Officer. Reporting to the board of trustees, this role will oversee all aspects of the organization's administrative operations, including financial management, fundraising, marketing, community engagement, union negotiations, and human...
-
Chief Data and Business Development Officer
1 month ago
Annapolis, Maryland, United States Maryland Department of Transportation Full timeJob Title: Chief Data and Business Development OfficerJoin the Maryland Department of Transportation as a key member of the leadership team, responsible for driving business growth and development through data-driven insights.About the Role:The Chief Data and Business Development Officer will lead the Data Management and Business Development team in...
-
Chief Data Officer
1 month ago
Annapolis, Maryland, United States St John's College Full timeJob SummaryThe Chief Data Officer (CDO) is a senior leadership position responsible for strategic leadership of the College's institutional research functions. Reporting directly to the Collegewide President, the CDO works collaboratively with senior leadership, faculty, staff, and external stakeholders to provide the vision, leadership, and management of...
-
Corporate Legal Advisor
7 days ago
Annapolis, Maryland, United States LivantaLLC Full timeJob SummaryThe Corporate Legal Advisor will assist the General Counsel/Chief Operating Officer at Livanta LLC. This role ensures the company's compliance with various laws, regulations, and contractual requirements. The advisor will also assist the General Counsel/Chief Operating Officer in providing guidance and oversight of the Legal, Human Resources,...
-
Chief Financial Officer
12 hours ago
Annapolis, United States Peloton Search Partners Full timeCompany Background:Our client (the “Company”) is a leading consumer services provider, operating in multiple markets across the US. Additionally, the Company operates in a highly fragmented sector, presenting numerous attractive Investment opportunities.Backed by well-known PE investors, they are seeking an experienced CFO to provide leadership for the...
-
Senior Legal Advisor
2 weeks ago
Annapolis, Maryland, United States LivantaLLC Full timeJob SummaryThe Legal Counsel will provide critical support to the General Counsel/Chief Operating Officer in ensuring the company's compliance with various laws, regulations, and contractual requirements. This role requires a strong understanding of employment law and government compliance requirements, as well as experience in contract preparation and...
-
Senior Legal Advisor
2 weeks ago
Annapolis, Maryland, United States LivantaLLC Full timeJob SummaryThe Senior Legal Advisor will assist the General Counsel/Chief Operating Officer in ensuring Company's compliance with various laws, regulations, and contractual requirements.Key ResponsibilitiesEnsure Company recognizes and addresses all legal implications and risks, especially with respect to compliance matters.Identify and perform required...
-
Facility Security Officer
7 days ago
Annapolis Junction, Maryland, United States Huntington Ingalls Industries Full timeJob SummaryHuntington Ingalls Industries is seeking a highly skilled Facility Security Officer to join our team in Annapolis Junction, Maryland. As a key member of our Mission Technologies Division, you will be responsible for implementing and maintaining the National Industrial Security Program Operating Manual (NISPOM) and government security...
-
Front Office
2 months ago
Annapolis, United States Covenant Physician Partners Full timeAnne Arundel Gastroenterology Associates, a Covenant Physician Partner, located in Annapolis, Maryland is looking for a Fulltime Front Desk Associate to join our talented and growing team. About the Opportunity Anne Arundel Gastroenterology Associates (AAGA) is one of the top surgical centers in the country. This role entails working with compassionate,...
-
Cloud Systems Engineer
2 weeks ago
Annapolis, Maryland, United States Synergy ECP Full timeJob Summary:Synergy ECP is seeking a highly skilled Cloud Systems Engineer to join our team. As a Cloud Systems Engineer, you will be responsible for developing and implementing data management and compliance strategies for our clients.Key Responsibilities:Creating and implementing an EIS-wide data strategyData governance and complianceDevelopment of data...
-
Mortgage Loan Officer
1 month ago
Annapolis, United States South River Mortgage Full timeResponsibilitiesAs a Loan Officer, you will work with pre-screened leads developed by the company. There is no cold-calling or lead generation required. Your job is to manage leads by providing a phone consultation to help clients meet their retirement goals. You will be trained to present mortgage opportunities over the phone, educating the customer on the...
-
Mortgage Loan Officer
3 months ago
Annapolis, United States South River Mortgage Full timeResponsibilitiesAs a Loan Officer, you will work with pre-screened leads developed by the company. There is no cold-calling or lead generation required. Your job is to manage leads by providing a phone consultation to help clients meet their retirement goals. You will be trained to present mortgage opportunities over the phone, educating the customer on the...
-
Mortgage Loan Officer
3 weeks ago
Annapolis, United States South River Mortgage Full timeResponsibilitiesAs a Loan Officer, you will work with pre-screened leads developed by the company. There is no cold-calling or lead generation required. Your job is to manage leads by providing a phone consultation to help clients meet their retirement goals. You will be trained to present mortgage opportunities over the phone, educating the customer on the...
-
Parking Enforcement Officer
7 days ago
Annapolis, Maryland, United States SP+ Full timeJob OverviewAt SP+, we're driven by Our Promise, "Making Every Moment Matter for a World on the Go." As a key member of our team, you'll play a vital role in ensuring compliance with parking policies and regulations.Key Responsibilities:Provide exceptional customer service by answering questions and offering directions.Issue citations and warnings for...