Chief Compliance Officer

1 month ago

Bethesda, United States Potomac Fund Management, Inc. Full time

About the Role:


The Chief Compliance Officer is responsible for keeping our RIA compliant with federal and state securities laws by establishing controls, best practices, and ethical standards. This position develops, implements and coordinates the compliance functions for the firm. This includes staying abreast of current issues in the regulatory environment, changes in the securities law and to advise senior management with industry rules, regulations and how they should be implemented and enforced. This position is on-site in our Bethesda, MD office and will report to the CEO.


Qualifications:

  • Bachelor’s degree in law, finance, business administration, or a related field.
  • Master’s degree or certificate in compliance standards.
  • 3–5 years of experience in a compliance role in the financial services industry.
  • Deep understanding of industry regulations.
  • Proven ability to develop and implement compliance policies and procedures.
  • Experience in conducting and overseeing internal audits and investigations.
  • Ability to navigate complex legal issues and provide clear, actionable advice.


Preferred Qualifications:

  • Experience with providing compliance support to RIAs/asset management space.
  • Excellent communicator with the ability to discuss legal requirements/updates in a concise manner.
  • Experience in implementing technology driven compliance enhancements.
  • Excellent leadership qualities and team-management expertise.


Responsibilities:

  • Lead/manage compliance operations to support the business and outside partnerships.
  • Actively engage with and act as the point of contact for regulators, auditors, and third-party due diligence partners, demonstrating deep knowledge of the regulations as they apply to our business, products and services.
  • Enhance and maintain the organizational and record-keeping processes that enable timely and accurate responses to regulatory inquiries and examinations as they arise.
  • Periodically review, maintain, update and test written compliance policies and procedures for the investment adviser operations, including completion of any associated remediation.
  • Monitor, advise, and implement all relevant regulatory rule changes.
  • Review all public facing marketing and sales materials.
  • Ensure accurate and timely filings of required regulatory documents such as ADV Part 1, ADV Part 2A, ADV Part 2B, and other periodic filing requirements.
  • This includes staying abreast of current issues in the regulatory environment, changes in the securities law and to advise senior management with industry rules, regulations and how they should be implemented and enforced.


About Potomac:


In the past four years, Potomac has grown from under $140M+ to over $1.7B in AUM. It is an exciting time to be part of this company We have a fantastic culture, great benefits, and hardworking people who love to collaborate.


A pioneer in active risk-managed investing, Potomac has the experience and expertise to help advisors align the correct allocation for any given market condition. Working with financial advisors, we understand that every investor is unique, but each want to avoid catastrophic losses. Potomac offers a selection of tactical investment strategies for building and preserving wealth—so advisors can match the right strategy or combination of strategies to each investor’s needs.


What makes someone successful at Potomac:


To be successful at Potomac, we look for individuals who are not just looking to do a job, but for people who pride themselves on exceptional work. When each member of the team plays their part to the best of their ability, we all succeed. None of us are perfect, but we’re looking for dependable, coachable, and team-oriented problem solvers. Individually we can tackle a little, but together we can take over this industry.


Benefits:

  • 401(k) & other retirement benefits
  • Health Insurance
  • Dental Insurance
  • Health savings account option
  • Paid time off
  • Parental leave


Work location: Bethesda, MD.

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