Chief Compliance Officer
3 weeks ago
About the Role:
We are seeking a highly skilled Compliance and Operations Manager to join our team at Scarborough Capital Management. As a key member of our management team, you will be responsible for ensuring the firm's compliance with all relevant laws and regulations, as well as overseeing the day-to-day operations of the business.
Key Responsibilities:
- Develop, implement, and enforce compliance policies and procedures
- Lead annual firm compliance reviews and employee compliance training programs
- Be the main point of contact for all compliance and regulatory inquiries
- Oversee the daily operations of the business and improve procedures and processes
- Lead and motivate staff, mentoring employees
- Coordinate recruitment and hiring for open staff positions
- Establish policies to improve company culture
- Collaborate with the firm's partners to find strategies to improve the company's performance
- Implement and enforce the Code of Ethics
- Conduct compliance reviews of all marketing materials and client communications
- Provide primary oversight and supervision of the Investment Advisers Act of 1940 and any rules adopted by the SEC under the Act
- Coordinate with the firm's IT staff to oversee and monitor the effectiveness of cyber-fraud defensive measures
- Annually file and amend the firm's ADV to ensure compliance with SEC filing requirements
- Work closely with the broker/dealer's compliance department
- Supervise all securities transactions of the firm
- Responsible for licensing of the IARs for both securities and variable annuities in most states
Requirements:
- 5-10 years of experience working in Compliance/Supervision of the securities industry
- Series 7, 65/66, 24 (a plus)
- Bachelor's Degree in a business-related major
- Detail-oriented, accurate, organized, and able to set priorities
- Strong communication skills
- Team player
- Desire and ability to work successfully in a small company environment
Benefits:
- Competitive salary and benefits package
- 401(k) and 401(k) matching
- Dental, vision, health care, and life insurance
- Partial and/or full financial support for professional accreditation/continuing education requirements and other education/training opportunities
Work Environment:
Our office is located in Annapolis, Maryland, and we are seeking a candidate who is able to work in a fast-paced environment and is comfortable with the demands of a small company.
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