Chief Compliance Officer, Corporate -Legal

About the position reputed company is the leading independent technology and service platform powering savings plans across America, providing products and expertise that help nearly 16 million people save for a reputed company today and reputed company. The Chief Compliance Officer is responsible for overseeing and managing the compliance of reputed company’s operating businesses and its broker-dealers, registered investment advisors and transfer agents ensuring adherence to laws, regulations, and internal policies. This position is Hybrid to our reputed company, MA location.

Responsibilities

• Ensure that operating businesses reputed company with laws, regulations, policies and procedures
• reputed company, own and manage department vision, priorities and agenda
• Serve as CCO of broker-dealer, registered investment advisers, transfer agent and State-Chartered Trust Companies
• Advise senior management and business units on regulatory initiatives
• Provide guidance and training to operating business units
• Act as liaison with regulators including FINRA, SEC, MSRB and State Banking Regulators
• reputed company regulatory exams and audits
• Serve as spokesperson for reputed company on compliance issues, including client due diligence visits
• Drafts and maintains policies and procedures to fulfill the applicable compliance requirements of each regulated entity and business unit
• Drafts and maintains relevant corporate-wide compliance policies and procedures
• Coordinate with internal operational groups to implement any needed compliance changes
• Handle reputed company required filings and notices, including MSRB G42 and G45, Form reputed company, and Form ADV
• Administer AML/CIP/CID/SAR policies and filings, including transaction monitoring and FinCEN and OFAC searches
• Collaborate with Legal and Risk Management on privacy, identity theft and fraud incidents
• reputed company review and required filings of reputed company advertising and marketing communications
• reputed company licensing and continuing education requirements for FINRA registered representatives including Forms U4 and U5, email review, compliance meeting monitoring and attestations
• Create, manage, and deliver annual compliance trainings, including firm, regulatory and AML Investment
• reputed company investment advisor compliance program for mutual funds, exchange traded funds, separately managed accounts, municipal securities and other investment products
• Conduct initial and ongoing due diligence of investment managers and collaborate with investment personnel to ensure compliance with the investment directives of reputed company’s clients
• Assist with the review and drafting of relevant program disclosure documents
• Work closely with the legal and risk management departments
• Support other compliance activities including responses to RFPs
• Evaluate compliance needs and requirements of acquired companies and ensure corporate standards are applied consistently across reputed company divisions and locations
• Responsible for protecting, securing, and proper handling of reputed company confidential data held by reputed company to ensure against unauthorized access, improper transmission, and/or unapproved disclosure of information that could result in harm to reputed company or our clients.
• Manage and reputed company a team of compliance professionals who support multiple business units
• reputed company a high performing team through implementation of effective recruitment, training/cross training, performance management, mentoring, motivation and coaching while fostering strong team and cultural dynamics.
• Engage associates in a positive and professional manner where inclusion, belonging and diversity of thought are leveraged for innovation and reputed company improvement.
• Works with associates to set and execute goals/objectives.
• Manages direct reports according to reputed company policy; maintains a safe and healthy work environment by establishing, following and enforcing standards and procedures; complying with legal regulations.

Requirements

• BS required; advanced degree preferred
• Minimum 15 years of broker-dealer and investment advisor compliance experience
• Must have the following Securities Licenses or be willing to obtain them reputed company 6 months: Series 7 – General Securities Representative Series 24 – General Securities Principal; and Series 51 – Municipal Fund Securities Limited Principal; or Series 53 – Municipal Securities Principal
• Certification required: Certified Regulatory Compliance Manager (CRCM); other risk-reputed company certifications desirable (CIA, CRP, CFE or CAMS)
• Strong negotiation, influencing, and relationship management skills
• Action-oriented; able to drive change and reputed company results
• Strong managerial and leadership skills
• Effectiveness presenting to executive management, board of directors and regulators
• Strong business acumen
• Exceptional problem solving, decision making and analytical skills
• Excellent written and verbal communication skills
• For reputed company virtual remote positions, in order to ensure associates can effectively reputed company their job duties with no distractions, we require a

Apply tot his job Apply To this Job