Compliance and Risk Management Specialist
3 weeks ago
Capital Advisors, Inc. is a reputable SEC Registered Investment Advisor with over $6 Billion in assets under management.
We inspire peace of mind through a transparent and repeatable investment process and frequent communication.
Job SummaryAs a Compliance Officer at Capital Advisors, Inc., you will play an integral role in the implementation and oversight of our compliance program.
You will collaborate with our Chief Compliance Officer to review and execute our compliance program throughout the organization.
You will also coordinate education initiatives on matters of compliance and risk management, assist with compliance obligations regarding publicly traded mutual funds, and be responsible for new employee compliance education and onboarding.
Key Responsibilities- Collaborate with CCO: Collaborate with our Chief Compliance Officer on review and execution of the Compliance Program throughout the organization.
- Education Initiatives: Coordinate education initiatives on matters of compliance and risk management.
- Compliance Obligations: Assist CCO in Compliance obligations regarding publicly traded Mutual Fund.
- New Employee Onboarding: Responsible for new employee compliance education and onboarding.
- Compliance Software: Be an expert on Compliance Software (Orion Compliance).
- Daily Compliance Tasks: Independently carry out daily Compliance tasks to comply with regulatory requirements.
- Remote Office Inspections: Carry out remote office inspections; requires limited travel.
- FINRA License: FINRA license - Series 65 (required)
- Bachelor's Degree: Bachelor's Degree (required)
Salary: Based on experience plus annual bonus program ($123,456)
Location: Tulsa, Oklahoma in office
Schedule: 8:00 AM - 4:30 PM Monday - Thursday, 8:00 AM - 3:15 PM Friday
Benefits: Up to 6 weeks PTO, 90% employer paid medical insurance, 401k match 100% vested available first day, ESOP available first day, employer paid 2x annual salary life insurance
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