Chief Compliance Officer

2 weeks ago

Indianapolis, United States Goelzer Investment Management, Inc Full time
Job DescriptionJob DescriptionThe successful candidate will be a self-starter who displays initiative and a positive attitude, a high level of integrity, and the motivation to take on a variety of tasks in a team-oriented environment. The successful candidate will be an individual who demonstrates a high level of respect for each person they encounter, is truly interested in continual personal and professional growth, and finds personal fulfillment in providing outstanding service and generally helping others. Above all, we are looking for a highly qualified individual who sees this as a tremendous opportunity for a long-term career at Goelzer and who will be passionately committed to continuously improving our compliance program.

Job Summary: The Chief Compliance Officer is responsible for managing the firms compliance program in a manner that (i) ensures the firms ongoing compliance with applicable laws, (ii) continuously improves the firms compliance program, (iii) leverages SEC guidance and industry best practices, and (iv) proactively provides timely and practical training and advice to team members.

Key Responsibilities:
Develop, implement, administer, and continuously improve the firms compliance program including appropriate policies, control measures, and regular reviews and testing.
Serve as an effective representative of the firm with regulatory entities by coordinating audits and investigations and appropriately reviewing and resolving inquiries and other concerns.
Foster a culture of compliance across the firm.
Work proactively to train and advise team members and address questions, concerns, or suggestions in a timely and appropriate manner.
Manage the firms risk assessment framework, identify proactive solutions that help mitigate risks and achieve the firms goals and objectives, and serve as chair of the firms Risk Management Committee.
Review the firms proposed communications, including responses to requests for proposals, marketing materials, and mass communications, to ensure compliance with regulatory requirements and the firms policies.
Oversee compliance with the firms IT security policies in coordination with the Senior Manager, Portfolio Operations & Information Technology, and Chief Operating Officer to protect and improve the security of the firms information technology systems and data.
Participate in compliance and security-related projects that contribute to the firms cybersecurity and business continuity protocols.
Preserve corporate records in compliance with legal requirements and best practices.
Oversee the firms corporate insurance with the firms insurance broker.

Work Experience / Knowledge:
Five or more years of direct compliance experience at a Registered Investment Advisory firm.
Strong verbal and written communication skills and the ability to coordinate effectively with senior management on high-priority compliance matters.
Strong working knowledge of SEC regulations and requirements, including the Investment Advisers Act of 1940, the Investment Company Act of 1940, and the Exchange Act as related to SEC-registered investment advisers.
Ability to effectively lead committees in relation to compliance and/or risk management.
Experience developing, implementing, and monitoring compliance policies and plans.
Experience testing and analyzing compliance program elements for efficiency and effectiveness.
Experience working with Code of Ethics systems such as Compliance Alpha.

Preferred but not Required:
 Working knowledge of compliance program modules attached to order management systems or portfolio accounting systems.
Prior experience with Compliance Alpha, Tamarac, RIA Analytics, and Practifi/Salesforce.

Skills / Other Personal Attributes Required:
 Passionate about providing proactive, practical advice and helping team members achieve their goals and objectives.
Enjoys setting and achieving personal goals and objectives, with a proven ability to prioritize effectively.
Enjoys working in a fast-paced work environment and multi-tasking.
Enjoys collaborating with others to improve ideas and outcomes.
Excellent analytical, decision-making, and critical thinking skills.
Superior organizational skills and keen attention to detail.
Understand and respect for corporate structure.
Initiative, creativity, judgment, and poise.
Dedication to professionalism and confidentiality.
Computer proficiency, particularly in Microsoft Office Suite.

Education/Certifications:
 Bachelors Degree in accounting, finance, business, law, or related discipline.

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