Chief Compliance Officer

3 weeks ago


Annapolis, Maryland, United States Scarborough Capital Management Full time

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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