Compliance Officer Leadership

1 week ago


Alpharetta, United States Gibbs Financial Group Full time
Job Overview

The Chief Compliance Officer will oversee all aspects of the firm's compliance program, ensuring alignment with SEC and state regulations.

This role is crucial for maintaining the firm's reputation, managing regulatory risk, and fostering a culture of ethical conduct and compliance excellence.

$120,000 - $160,000 per year

Key Responsibilities:
  • Policies and Procedures: Design and implement policies, procedures, and guidelines to ensure the company complies with applicable laws, regulations, and standards.
  • Code of Ethics: Oversee the firm's Code of Ethics, including personal trading and employee disclosures.
  • Training Programs: Establish training programs to educate employees about compliance requirements.

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