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Chief Compliance Officer
2 months ago
Oxford Financial Group, Ltd. is seeking a highly skilled and experienced Chief Compliance Officer to lead our compliance program and ensure adherence to regulatory requirements.
Key Responsibilities- Develop and oversee the compliance program, including annual risk assessments and compliance reports
- Oversee the correction of compliance matters, including changes in compliance policies
- Determine the development and implementation of policy and procedures, testing and training
- Conduct research on regulatory agency rules and regulations to incorporate new requirements into policies and procedures
- Work with outside counsel to implement new compliance regulations and ensure their application to Oxford
- Lead cybersecurity efforts from a compliance standpoint, including business continuity and incident response
- Oversee commodity pool operator and information security programs
- Manage email review, ADV filings, and Form CRS
- Handle client complaints, including review, response, and reporting
- Approve and manage compliance of all marketing materials
- Oversee compliance participation in the RFP process and approve RFPs for submission
- Responsible for Code of Ethics matters and reporting
- Lead all regulatory inspections, internal testing, exams, and audits
- Oversee regular compliance testing to ensure the effectiveness of policies and procedures
- Coordinate testing efforts with External Auditors, Risk Management, and other testing functions
- Responsible for custody audits, IT General Control audits, and other compliance-related audits
- JD, strongly preferred
- Bachelor's degree in finance, business, or related area
- 5+ years of experience at a financial institution in a fiduciary, trust, investment management, or wealth management role or experience as a bank regulator
- Strong knowledge of the fiduciary regulatory structure and environment
- Ability to conduct research through multiple regulatory resources
- Ability to organize and analyze data into board and committee-level reporting
- Professional demeanor with utmost respect for confidential matters
- Ability to work independently and in a team environment
- Excellent written and verbal communication skills with strong interpersonal skills
- Ability to work in a high-stress, fast-paced environment
- Minimum travel to market offices and conferences
- Extensive phone and computer usage