Chief Compliance Officer
3 weeks ago
We are seeking a highly skilled Chief Compliance Officer to join our team at Corvus Wealth Advisors. As a key member of our organization, you will be responsible for developing and implementing compliance policies and procedures to ensure our firm remains compliant with SEC and FINRA regulations.
The ideal candidate will have 5+ years of experience in a compliance role within the wealth management industry, with a strong knowledge of SEC and FINRA regulations. They will also possess excellent communication and interpersonal skills, as well as the ability to work independently and prioritize tasks.
Key Responsibilities:
- Develop and implement compliance policies and procedures
- Conduct regular compliance training for employees
- Stay up-to-date with regulatory changes and ensure the firm remains compliant
- Serve as the point of contact for regulatory agencies and prepare and submit all regulatory filings
- Ensure that the firm's books and records are properly maintained
Requirements:
- 5+ years of experience in a compliance role within the wealth management industry
- Strong knowledge of SEC and FINRA regulations
- Excellent communication and interpersonal skills
- Ability to work independently and prioritize tasks
- Detail-oriented and able to analyze complex information
What We Offer:
- Competitive salaries benchmarked annually
- Some positions eligible for incentive bonuses
- 401(k) Plan after 6 months of full-time employment with discretionary match and safe harbor contribution
- Health Reimbursement Allowance (HRA) monthly after 90 days
- Starting at 120 hours of PTO accrued annually
- 9 Paid holidays annually
Work Environment:
- In-office work at two locations, San Luis Obispo and Templeton, on the beautiful Central Coast of California
- A friendly and transparent work culture that values a work-life balance for all employees
- Casual, yet professional office dress
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