Chief Compliance Officer

3 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.

  • Chief Compliance Officer

    17 hours 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...

  • Chief Legal

    1 week ago

    Indianapolis, United States Optimyl Benefits Full time

    Job DescriptionJob DescriptionLet's change healthcare together!At Optimyl Benefits, we're revolutionizing the healthcare landscape for small employers by providing accessible, high-quality, and easy-to-use healthcare plans. Drawing from deep experience working with small employers, Optimyl delivers plans crafted specifically for them, finding the...

  • Chief Legal

    4 days ago

    Indianapolis, United States Optimyl Benefits Full time

    Job DescriptionJob DescriptionLet's change healthcare together!At Optimyl Benefits, we're revolutionizing the healthcare landscape for small employers by providing accessible, high-quality, and easy-to-use healthcare plans. Drawing from deep experience working with small employers, Optimyl delivers plans crafted specifically for them, finding the...

  • Chief Financial Officer

    1 day ago

    Indianapolis, United States The Oaks Academy Full time

    Description As a member of the Senior Leadership Team, the Chief Financial Officer (CFO) reports to the Chief Executive Officer and assumes a key role in the overall strategic and financial management of the school. The CFO has primary responsibility for planning, implementing, managing, and controlling all financial-related activities of the...

  • Chief Financial Officer

    2 days ago

    Indianapolis, United States INARF Inc Full time

    The Chief Financial Officer will direct all financial functions of the agency including accounts payable, accounts receivable, payroll, budgeting, forecasting, liaising with board committees and industry financial partners and general accounting functions. Ensure efficient daily workflow, customer service and legal compliance. Conduct or direct internal...

  • Chief Financial Officer

    2 weeks ago

    Indianapolis, United States Noble Full time

    Job Type Full-time Description Summary: The Chief Financial Officer will direct all financial functions of the agency including accounts payable, accounts receivable, payroll, budgeting, forecasting, liaising with board committees and industry financial partners and general accounting functions. Ensure efficient daily workflow, customer service and legal...

  • Chief Executive Officer

    2 weeks ago

    Indianapolis, United States BLAQ AMERICA Full time

    Job DescriptionJob DescriptionWe are seeking a Chief Executive Officer to lead our company! You will help develop and execute the company's strategy and direction.Responsibilities:Set the company's strategy and directionCreate and build the company's cultureOversee and drive team to achieve mutually agreed goalsDiscuss company financials and...

  • Chief Executive Officer

    4 days ago

    Indianapolis, United States BLAQ AMERICA Full time

    Job DescriptionJob DescriptionWe are seeking a Chief Executive Officer to lead our company! You will help develop and execute the company's strategy and direction.Responsibilities:Set the company's strategy and directionCreate and build the company's cultureOversee and drive team to achieve mutually agreed goalsDiscuss company financials and...

  • Compliance Officer

    1 day ago

    Indianapolis, United States WestPoint Financial Group Full time

    WestPoint Financial Group, a full-service financial services firm, is looking for a highly detailed professional to join our compliance team. This position plays an integral role on a team of compliance supervisory officers and ensures our firm and associates comply with industry guidelines and regulations. The ideal candidate for this role will be skilled...

  • Compliance Officer

    17 hours ago

    Indianapolis, United States WestPoint Financial Group Full time

    Job DescriptionJob DescriptionWestPoint Financial Group, a full-service financial services firm, is looking for a highly detailed professional to join our compliance team. This position plays an integral role on a team of compliance supervisory officers and ensures our firm and associates comply with industry guidelines and regulations. The ideal candidate...

  • Chief Operating Officer

    3 weeks ago

    Indianapolis, United States Matchstick Full time

    Job DescriptionJob DescriptionThe Organization:91 Place serves youth experiencing homelessness by providing them with vital relationship building skills, housing, education, mental health services, workforce development, and other essential support structures, all with the hope of facilitating their transition into adulthood in a way that is sustainable and...

  • Chief Estimator

    5 days ago

    Indianapolis, United States Bloom Partners Talent Solutions Full time

    Job Title: Chief Estimator – Shape the Future of Indianapolis Landscapes Company: Full-service commercial landscape company Recruiter: Bloom Talent Solutions Location: Indianapolis, IN Company Overview: Bloom Talent Solutions is partnering with a leading Indianapolis commercial landscape company to find a seasoned Chief Estimator with a knack for growth...

  • Chief Information Officer

    2 weeks ago

    Indianapolis, United States Indiana Hemophilia & Thrombosis Center Full time

    Job DescriptionJob DescriptionAbout IHTCAt the Indiana Hemophilia & Thrombosis Center (IHTC), we offer a future where people with rare blood disorders flourish. Our experts provide the highest quality comprehensive services and holistic care to patients with bleeding, clotting and other hematologic disorders, and to their families.What You Will DoAs Chief...

  • Compliance Associate

    1 day ago

    Indianapolis, United States WestPoint Financial Group Full time

    Compliance Associate Indianapolis, IN WestPoint Financial Group, a full-service financial services firm, is looking for a highly detailed professional to join our compliance team. This role plays an integral part in supporting our team of compliance supervisory officers and ensuring our firm and associates comply with industry guidelines and regulations. The...

  • Compliance Associate

    2 weeks ago

    Indianapolis, United States WestPoint Financial Group Full time

    Job DescriptionJob DescriptionCompliance AssociateIndianapolis, INWestPoint Financial Group, a full-service financial services firm, is looking for a highly detailed professional to join our compliance team. This role plays an integral part in supporting our team of compliance supervisory officers and ensuring our firm and associates comply with industry...

  • Chief Development Officer

    2 weeks ago

    Indianapolis, United States Indiana University of Pennsylvania Full time

    Position Summary & Description Position Summary and DescriptionDownload Position Profile - (Download PDF reader) Reporting to Dr. Miko Rose, the Founding Dean of the College of Osteopathic Medicine at Indiana University of Pennsylvania, the Chief Development Officer – College of Osteopathic Medicine will be responsible for oversight, direction, and...

  • Chief Estimator

    2 weeks ago

    Indianapolis, United States Bloom Partners Talent Solutions Full time

    Job DescriptionJob DescriptionJob Title: Chief Estimator – Shape the Future of Indianapolis LandscapesCompany: Full-service commercial landscape companyRecruiter: Bloom Talent SolutionsLocation: Indianapolis, INCompany Overview: Bloom Talent Solutions is partnering with a leading Indianapolis commercial landscape company to find a seasoned Chief Estimator...

  • Compliance Coordinator

    3 weeks ago

    Indianapolis, United States Verida Inc Full time

    Job DescriptionJob DescriptionSUMMARY: Responsibilities include interacting with providers to obtain compliance information, coordination of inspections, and working with compliance officers to coordinate their daily activities. Other duties include filing, mailing, faxing, emailing, and responding to inquiries and complaints.ESSENTIAL FUNCTIONSMaintain...

  • Senior Compliance Analyst

    2 weeks ago

    Indianapolis, United States Horizon Bancorp Full time

    The Senior Compliance Analyst serves as a resource to ensure the bank remains compliant with applicable laws and regulations. Support all business units within the Bank by responding to compliance-related questions. Complete compliance reviews of new marketing materials and perform compliance monitoring while recommending corrective action to resolve...

  • Organ Regulatory Compliance Coordinator

    1 week ago

    Indianapolis, United States Indiana Donor Network Full time

    Job DetailsJob Location Indianapolis, IN - Indianapolis, IN Description Are you looking for an exciting new career opportunity to use your knowledge and skill in a way that saves and enhances lives? The Indiana Donor Network is seeking an Organ Regulatory Compliance Coordinator to join our organization. Over the last 30 years, our mission has never wavered:...