Chief Compliance Executive

2 weeks ago


Hartford, Connecticut, United States HIFON Group Full time

HIFON Group is a comprehensive financial services organization seeking a Chief Compliance Executive to oversee our compliance and supervisory functions.

As a leader in the financial sector, HIFON Group is committed to delivering a broad spectrum of financial planning solutions while fostering a robust corporate culture. We manage significant assets for a diverse clientele and are in search of dynamic professionals who can introduce innovative ideas to enhance our established practices.

Key Responsibilities:

  • Continuously assess and refine the compliance framework to align with regulatory standards and the evolving needs of HIFON Group.
  • Identify, communicate, and address compliance issues effectively.
  • Monitor and analyze current and proposed regulations that may affect HIFON Group.
  • Supervise third-party compliance assessments of our policies and procedures.
  • Ensure adherence to cybersecurity protocols with third-party IT providers, identifying and rectifying any gaps.
  • Review marketing and client service materials for compliance with regulatory standards.
  • Oversee portfolio trading activities to ensure compliance with investment guidelines and regulations.
  • Provide training on compliance matters and oversee regulatory filing preparations.
  • Manage examinations by regulatory bodies and coordinate responses to inquiries.
  • Act as a primary user of the compliance management system.
  • Lead and mentor the compliance team and external partners.

Qualifications:

  • Over 10 years of compliance experience, particularly within a registered investment advisory firm managing $2 billion or more.
  • Proven experience in overseeing regulatory examinations and collaborating with examiners.
  • Familiarity with the IARD system.
  • Experience in updating compliance documentation and policies.
  • Proficient in managing compliance testing and oversight.
  • Demonstrated leadership experience in team management.
  • Preferred background includes FINRA/BD experience and a Series 24 license.
  • Experience with firms involved in advisor recruitment and mergers and acquisitions is advantageous.
  • Participation as a speaker or panelist at industry conferences is a plus.

Compensation:

We offer a competitive salary and benefits package commensurate with experience.



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