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Chief Compliance Officer

2 months ago

Annapolis, United States Scarborough Capital Management Full time

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