Chief Compliance Officer Position

3 weeks ago


Alpharetta, United States Gibbs Financial Group Full time
Job Summary
We are seeking an experienced Chief Compliance Officer to lead and strengthen our compliance framework, ensuring adherence to all regulatory requirements and safeguarding the integrity of our operations. This role is crucial for maintaining the firm's reputation, managing regulatory risk, and fostering a culture of ethical conduct and compliance excellence.

Main Responsibilities
Develop and implement policies, procedures, and guidelines to ensure the company complies with applicable laws, regulations, and standards. Oversee the firm's Code of Ethics, including personal trading and employee disclosures. Establish training programs to educate employees about compliance requirements. Monitor and assess compliance risks within the organization. Conduct regular audits and reviews to ensure policies are being followed. Stay informed about changes in regulations that could impact the business. Ensure adherence to SEC and state regulations, including filing Form ADV and other regulatory documents. Serve as the primary contact for regulatory examinations, audits, and inquiries. Work closely with other departments, including legal, HR, finance, and operations to embed compliance in daily business practices. Act as an independent authority within the company to ensure ethical behavior and regulatory adherence. Investigate and resolve issues related to potential compliance violations or ethical misconduct. Provide regular reports to senior executives on compliance activities, risks, and issues. Ensure transparency and accountability in compliance efforts. Maintain required compliance items through technology/reporting platforms. Foster a culture of ethics and compliance by promoting ethical conduct and decision-making at all levels of the organization. Encourage employees to report concerns without fear of retaliation. Conduct periodic compliance risk assessments and ensure effective risk mitigation strategies. Ensure compliance risk management aligns with the company's strategic goals. Develop, implement, and continuously improve the firm's compliance policies and procedures. Maintain documentation of compliance incidents and corrective actions.

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