Chief compliance office

Join Our team We are always on the lookout for enthusiastic, committed, and detail-oriented individuals to contribute to our formula for success.
Our priority is putting our clients’ needs first and if you’re someone who has superior client service skills and a great work ethic, we want to hear from you.
As an established firm, we’re continuously growing our financial advisory business to offer the tools, resources, and motivation necessary to help our clients, and one another, build a great future.
Minimum Requirements for All Positions: Ethical Positive and constructive Service focused Team player Excellent communicator Diligent Self Starter Tech-savvy Value work-life balance Committed to continuous learning Compensation, Logistics and Perks: Competitive salaries benchmarked annually Some positions eligible for incentive bonuses 401(k) Plan after 6 months of full-time employment with discretionary match and safe harbor contribution Health Reimbursement Allowance (HRA) monthly after 90 days Starting at 120 hours of PTO accrued annually 9 Paid holidays annually In-office work at two locations, San Luis Obispo and Templeton, on the beautiful Central Coast of California A friendly and transparent work culture that values a work-life balance for all employees Casual, yet professional office dress Free financial planning and investment management for employee accounts Matching donation to a non-profit, as well as flex time to allow for up to 20 hours of service annually Chief compliance office A Chief Compliance Officer (CCO) is responsible for developing and implementing compliance policies and procedures for the firm to ensure we remain compliant with SEC and FINRA regulations.
Additionally, a CCO will conduct regular compliance training for employees, stay up-to-date with regulatory changes, review marketing materials for compliance, investigate and resolve compliance issues, and serve as the point of contact for regulatory agencies.
a chief compliance officer FOCUSES ON: Ensuring company policies and procedures for the firm are compliant Conducting regular compliance training for employees Staying up-to-date with regulatory changes and ensure the firm remains compliant Serving as the point of contact for regulatory agencies and preparing and submiting all regulatory filings Ensuring that the firm's books and records are properly maintained REQUIREMENTS FOR A chief compliance officer: 5+ years of experience in a compliance role within the wealth management industry Strong knowledge of SEC and FINRA regulations Excellent communication and interpersonal skills Ability to work independently and prioritize tasks Detail-oriented and able to analyze complex information Professional certifications such as CFA® or CFP®, or a JD degree are a plus