CHIEF COMPLIANCE OFFICER
Steward Partners Global Advisory is an employee-owned, full-service leading independent private financial services firm, with professionals delivering multifaceted financial solutions and platinum level service to our client’s and their families.
Steward Partners Global Advisory caters to family, institutional and multigenerational investors delivering comprehensive wealth planning and investment strategy implementation, professional asset management services, private banking, institutional consulting, international advisory and business solutions. We pride ourselves on delivering platinum level client service with an unwavering commitment to excellence.
The Chief Compliance Officer (CCO) will be responsible for developing, implementing, communicating, and reviewing Firm policies, procedures, trends and systems designed to enable the broker dealer and RIA to effectively manage risk and remain in Compliance with all applicable securities regulations. Responsibilities include developing and maintaining policies and procedures and the overall design/maintenance of the compliance program for the firm’s broker/dealer and two SEC-registered RIA firms. The CCO will also be responsible for ensuring that Steward Partners complies with regulatory requirements as well as firm policies. The CCO will provide executive leadership and strategy to Compliance, Risk Management and Operations of the firm.
Duties and Responsibilities:
- Act as the Firm’s primary point of contact with regulators (FINRA, SEC, States, MSRB), while having overall responsibility for managing regulatory audits and exams
- Develop and communicate an overall strategic vision for the functional compliance areas of the broker‐dealer and RIA which effectively manages and mitigates risk, establishes proper controls, supports business initiatives and protects the company from legal and regulatory risk
- Execute on strategic & consistent approaches to compliance reviews, issues and/or concerns to minimize the enterprise’s exposure
- Proactively collaborate with other departments as needed to ensure compliance issues are addressed, investigated, and resolved
- Consult with Sales & Marketing, Operations and other internal departments on compliance matters
- Provide strategic direction for the Compliance department including employee selection, performance management, and development.
- Serve as a subject matter expert when dealing with financial advisors on a variety of compliance, regulatory and business/industry topics
- Research existing rules, monitors regulatory developments, and communicates changes to field staff and home office staff.
- Oversight/responsibility for all regulatory filings for both the broker/dealer and RIA (e.g., Form BD, Form ADV Part 1 & 2A, Form CRS, Regulation Best Interest Disclosure, etc.)
- Ensuring execution of FINRA Rule 3120/3130 and SEC 206(4)-7 annual reviews/reports
Skills, Experience, & Qualifications
- Series 7 and 24
- 10+ years of compliance experience; with prior experience as a Chief Compliance Officer strongly preferred
- Deep knowledge of Investment Advisers Act of ‘40, FINRA regulations and broad knowledge of various other federal and state regulations.
- Experience with the current and proposed regulatory environment (SEC, FINRA, MSRB, States and DOL)
- Thorough knowledge of securities products (i.e., mutual funds, ETFs, variable annuities, structured products, alternative investments, complex products and individual securities) and advisory programs (e.g. UMA, SMA, TAMP, “Rep as PM”, etc.)
- Strong communication and presentation skills
- Ability to work well under pressure and under tight deadlines
- Strong experience in interacting with regulators
- Desired competencies include; action & solution oriented, command skills, leading and developing direct reports, innovation, continuous improvement, accountability, measuring change, metrics focus, and drive for results
Chief Risk Officer
Flexible, can be a remote or hybrid position. Individual must be willing to travel as needed.
For additional information or to submit a
resume, please contact: