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Chief Compliance Officer

2 months ago

Westlake Village, California, United States Alliance Entrust Full time
About Our Company

At Alliance Entrust, our mission is to empower financial advisors to guide their clients towards long-term financial stability through wise decision-making. Our purpose is to provide a trusted financial partner for our clients, safeguarding and growing their assets with the utmost care.

Job Overview

We are seeking a highly skilled Chief Compliance Officer to ensure our company adheres to all relevant regulatory requirements and internal policies. A background in finance, law, or a related field, along with relevant certifications, will be advantageous.

Key Responsibilities

  • Monitoring and interpreting relevant SEC regulations, ensuring our company's policies and procedures comply with these guidelines.
  • A strong fluency related to the Investment Advisor's Act of 1940.
  • Keeping up with the changes in laws and regulations and updating compliance programs accordingly.
  • Developing, implementing, and maintaining compliance policies, procedures, and controls. Ensuring these are effectively communicated and understood across the organization.
  • Creating a policy and procedures manual.
  • Conducting regular risk assessments to identify potential areas of compliance vulnerability and risk. Developing and implementing corrective action plans for resolution of problematic issues.
  • Providing training to employees on compliance-related topics, policies, and procedures to ensure a culture of compliance within the organization.
  • Performing regular audits and compliance checks to ensure adherence to internal policies and regulatory requirements. Preparing reports detailing audit findings and recommending corrective actions.
  • Preparing and presenting clear and concise compliance reports to senior management and regulatory bodies. Ensuring timely and accurate reporting of compliance issues.
  • Maintaining up-to-date documentation of compliance activities, including reports, audits, and other relevant records, ensuring they are easily accessible and well-organized.

Requirements

  • Excellent computer skills.
  • In-depth knowledge of Microsoft Office applications.
  • Excellent typing skills.
  • Excellent communication skills.
  • Professional appearance.
  • Timely, attentive with excellent task management.
  • IACCP Certificate.
  • Either Series 14, 65, or 7 and 66.
  • Have passed Bar Exam in California.

Personal Attributes

  • Teachable.
  • Observant.
  • Proactive.
  • Problem Solver.
  • Attention to Detail.
  • Organized.
  • Team Member.
  • Stewards Heart.

Job Type

Full-time

Pay

$120,000.00 per year

Physical Setting

Office

Schedule

Monday to Friday

Education

Bachelor's (Required)