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Chief Compliance Officer

2 months ago


Chicago, Illinois, United States Oxford Financial Group, Ltd. Full time
Job Summary

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
Qualifications
  • 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
Working Conditions
  • Minimum travel to market offices and conferences
  • Extensive phone and computer usage