Chief Compliance Officer

5 days ago

Denver, Colorado, United States Matter Family Office Full time
About the Role

Matter Family Office is seeking a highly skilled and experienced Chief Compliance Officer to lead our compliance efforts and ensure we maintain the highest standards of integrity and regulatory compliance.

Key Responsibilities
  • Maintain and update our Compliance policies and procedures manual to ensure alignment with regulatory requirements.
  • File Form CRS, ADV, and ADV-E with FINRA to ensure timely and accurate submissions.
  • Manage firm and IAR registrations via the FINRA website and brochures to ensure accurate and up-to-date information.
  • Manage compliance software to track trading, outside business activities, marketing, and advertising to identify potential risks and ensure compliance.
  • Leverage strong interpersonal, verbal, and written communication skills to interact with business management and functional partners to influence and inspire stakeholders at all levels of the organization.
  • Work with relevant stakeholders to implement new regulatory standard of care requirements, including analyzing rulemaking, providing compliance guidance, developing policies and procedures, and training.
  • Drive a culture of compliance across Matter Family Office by designing, implementing, and evolving systems and processes to identify and mitigate regulatory risks.
  • Work closely with leadership of all Matter Family Office functions to ensure that systems and processes are designed with operational and compliance requirements in mind.
  • Train new employees on all compliance-related matters and serve as the firm-wide resource for compliance questions.
  • Conduct periodic audits of client accounts to identify potential compliance issues.
  • Research and recommend new compliance program features and upgrades and coordinate resulting implementation.
Requirements
  • More than 10 years of experience in the wealth management industry, focused on operations and compliance, and possessing a deep understanding of the operational and compliance functions required in an RIA environment.
  • Bachelor's degree in business administration, finance, or a related field, advanced degrees, or certifications (e.g., JD, IACCP) are preferred.
  • Excellent proficiency in Microsoft Office Suite and other commonly used business software; comfortable learning and developing proficiency with other software, such as Portfolio Management System and CRM.
  • Excellent communication skills, including the ability to effectively communicate technical information to a non-technical audience and to tailor communications with appropriate context for clients and employees.
  • Demonstrates high levels of ethical behavior in accordance with professional and industry standards.
  • Strong understanding of financial markets, investment products, and regulatory requirements governing RIAs, including SEC regulations and fiduciary standards.
  • Exceptional leadership abilities with a track record of driving operational excellence, strategic planning, and organizational transformation.
  • Dependable, flexible, and adaptable to new initiatives and the ever-changing regulatory environment.
  • Possess the ability to identify potential regulatory, conduct, and reputational risks, and present practical solutions to address and/or mitigate such risks.
  • A critical thinker and problem solver with a high degree of self-direction to deliver the highest standards of compliance coverage and support.
  • Fosters positive interactions between associates with the ability to work effectively across different groups across the business, acts as an example for others.
  • Supports and demonstrates Matter Family Office's core values.
  • Strong organizational and time-management skills with the ability to prioritize tasks and manage multiple projects simultaneously.
  • Attention to detail and ability to identify and mitigate project risks.
What We Offer
  • Competitive salary and annual performance-based bonus.
  • Medical and dental health plans.
  • Supplemented health savings account and health flexible spending account.
  • Dependent care flexible spending account.
  • Employer-supplemented health reimbursement account plan.
  • Short- and long-term disability coverage paid for by employer.
  • Paid group life insurance.
  • Flexible 401(k) retirement benefits with employer matching.
  • 10 paid holidays per year plus competitive vacation and sick leave.
  • Technology reimbursement plan.
  • Opportunity for advancement based on performance, personal growth, and cultural fit.
  • Work with a team-oriented culture that supports continuing education and career growth.
  • Strong support for volunteer, community, and/or industry involvement.

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