Chief Compliance Officer

2 weeks ago


Golden Valley, United States Oak Ridge Financial Full time

About the Company

Oak Ridge Financial is a well-established financial services firm offering a full complement of brokerage, financial advisory and investment banking services to individuals and corporations through two business lines. First, the Private Client Group is a full-service financial advisory and brokerage unit serving approximately 5,000 clients throughout the U.S. Services include securities trading, investment management, estate planning, wealth management and insurance. Second, the Investment Banking Group provides advice on capital raising, mergers and acquisitions and other services to emerging growth companies nationally.


About the Position

Reporting to the CEO and serving as an integral member of the senior management team, the Chief Compliance Officer will possess proven leadership skills and extensive compliance experience to oversee the retail private client services and investment banking activities of a dually registered broker/dealer and SEC registered investment adviser.


Responsibilities

·        Develop, update, and enforce compliance policies and procedures to ensure the firm complies with relevant SEC, FINRA, MSRB and state rules and regulations.

·        Conduct periodic risk assessments of firm activities, testing compliance policies, controls and WSPs. Must be able to take appropriate steps to improve the effectiveness of programs.

·        Oversee the management of regulatory examinations conducted by the SEC, FINRA, States and other agencies, and respond to regulatory inquiries on a timely basis.

·        Monitor and ensure employee compliance with all relevant policies, including electronic communication, sales & trading, and business conduct.

·        Serve as a member of the Firm's Management Committee.



Requirements

·        FINRA Series 7, 63, 65 or 66, 4, 53, & 24 registrations (or ability to obtain within 90 days of employment)

·        State insurance license preferred

·        Five years experience in a Compliance or Supervisory position

·        Five years prior Compliance experience in a leadership role required

·        Ability to work individually and in team environments

·        Prior management experience desired

·        Ability to speak to and work with Regulators

·        Solid analytical and problem-solving skills

·        Excellent written and verbal communication skills

·        Superior leadership and organizational skills



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