Risk and Compliance Director

2 days ago

Carmel, Indiana, United States Valeo Financial Advisors LLC Full time
Job Title: Director of Risk and Compliance

Valeo Financial Advisors LLC is seeking a highly skilled Director of Risk and Compliance to join our team. As a key member of our organization, you will be responsible for managing all aspects of risk to the organization, its employees, clients, reputation, assets, and interests of stakeholders.

Key Responsibilities:

  • Maintain and update the firm's compliance policies and procedures to ensure adherence to regulatory requirements.
  • Manage all regulatory required filings and registrations, including initial, amendments, renewals, and disclosure documents.
  • Respond to requests for information regarding Valeo, its employees, or its clients by regulatory bodies.
  • Investigate and resolve potential compliance concerns, communicating with various legal and regulatory bodies as necessary.
  • Identify potential areas of compliance vulnerability and risk, developing corrective action plans to mitigate these risks.
  • Collaborate with other departments to monitor and coordinate compliance activities, promoting a culture of compliance and risk mitigation.
  • Perform other duties as assigned.

Requirements:

  • Bachelor's degree or higher from an accredited college or university.
  • 5+ years' experience working in compliance within the financial services industry, with direct experience with fund creation, monitoring, and management a plus.
  • Strong understanding and knowledge of industry best practices and regulatory expectations for overall compliance and risk management of a financial services firm.
  • Excellent organizational, communication, analytical, and problem-solving skills.
  • Ability to work in a fast-paced environment and champion an entrepreneurial spirit.

Valeo Financial Advisors LLC is an Equal Opportunity Employer. We do not discriminate based on race, religion, color, sex, gender identity, sexual orientation, age, non-disqualifying physical or mental disability, national origin, veteran status, or any other basis covered by appropriate law. All employment decisions are based on qualifications, merit, and business need.

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