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Chief Compliance Officer

3 months ago

Carmel, United States Valeo Financial Advisors LLC Full time
Job DescriptionJob Description

Valeo is actively seeking a Chief Compliance Officer. This individual will be responsible for managing all aspects of risk to the organization, its employees, clients, reputation, assets, and interests of stakeholders. Specific risk areas include firm governance, information security, regulatory compliance, and operational risk.

This position will be based in our Carmel, IN headquarters and will require consistent in-person attendance.

DUTIES AND RESPONSIBILITIES

  • Assume full responsibility for the execution of a compliance program in accordance with Investment Advisers Act of 1940, the Securities Exchange Act of 1934, and other relevant federal and state securities laws.

  • Supervise the firm’s compliance leadership and provide coaching as needed to protect the general operation of the Compliance Program and ensure it continues to prevent illegal, unethical, or improper conduct.

  • 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.

  • Maintain all regulatory required filings and registrations - initial, amendments, renewals, and disclosure documents.

  • Collaborate with other departments to monitor, and as necessary, coordinate compliance activities to remain aware of all compliance activities and to identify trends.

  • Manage any required investigation, reporting, and resolution of potential compliance concerns and communicates with various legal and regulatory bodies to understand current and new rulings affecting the firm and its operations.

  • Identify potential areas of compliance vulnerability and risk; develops/implements corrective action plans for resolution of problematic issues and provides general guidance on how to avoid or deal with similar situations in the future.

  • Participate in strategic planning with firm leadership to promote a culture of compliance and risk mitigation.

  • Foster a culture of compliance across the firm by managing the firm’s risk assessment framework, identify proactive solutions that help mitigate risks and achieve the firm’s goals and objectives, and serve as chair of the firm’s Risk Management Committee.

  • Review the firm’s proposed communications, including responses to requests for proposals, marketing materials, and mass communications, to ensure compliance with regulatory requirements and the firm’s policies.

  • Participate in compliance and security-related projects that contribute to the firm’s cybersecurity and business continuity protocols.

  • Compliance oversight of private fund operations

  • Perform other duties as assigned.

DESIRED QUALIFICATIONS

  • The ideal candidate has or is working towards the IACCP designation, and direct experience working in and with a compliance program at an SEC Registered Investment Advisor. Should have immediate working knowledge of Forms CRS and ADV, U4 and 5, Advisory Agreements, the Custody rule, and Reg S-ID. Direct experience with 13F filings, trade reconciliation and reviews, and SEC exams is greatly desired.

  • Bachelor’s degree or higher from an accredited college or university.

  • 10+ years’ experience working in compliance within the financial services industry; direct experience with fund creation, monitoring, and management a plus.

  • Strong understanding and knowledge of industry best practices and regulatory expectations for overall compliance and risk management of a financial services firm

  • Excellent organizational, communication, analytical and problem-solving skills

  • Strategic thinker who can take initiative and work independently.

  • Ability to work in a fast-paced environment and champion an entrepreneurial spirit.

  • Legal background preferred but not required

  • Experience with private fund management, disclosures, audits, and associated reporting preferred

  • Highly proficient with all Microsoft Office and Adobe products.

Valeo Financial Advisors is one of the largest RIA firms in the Midwest, with over $9B in assets under management, and is rapidly growing and expanding. We provide comprehensive, independent financial advice to our clients with one simple transparent fee. Based in central Indiana, we are committed to empowering the next generation and revolutionizing the financial services industry. Valeo provides competitive benefits including flexible leave policies, 401(k) with company match, and health coverage.?

Valeo is an Equal Opportunity Employer. Valeo does not discriminate on the basis of race, religion, color, sex, gender identity, sexual orientation, age, non-disqualifying physical or mental disability, national origin, veteran status or any other basis covered by appropriate law. All employment decisions are based on qualifications, merit, and business need.