Chief Compliance Officer

Schechter Wealth

DESCRIPTION

The Chief Compliance Officer (CCO) is primarily responsible for overseeing and managing compliance across the Schechter Organization on a day-to-day basis and ensuring that the company and its team members are complying with regulatory requirements as well as internal policies and procedures.

ESSENTIAL JOB FUNCTIONS

• Developing, implementing, and enforcing compliance policies and procedures designed to detect and prevent violations of federal securities laws and mitigate various types of risk, including compliance and operational risk
• Reviewing and monitoring internal activities against compliance policies and procedures, including ongoing review and approval of marketing and advertising materials, team members emails and personal trading, gifts and political contributions, outside business activity, and best execution along with other compliance-related matters
• Conducting new team members compliance training and annual compliance program training meetings to ensure that all team members and management are knowledgeable of, and comply with, pertinent standards
• Oversee, monitor and document the firm’s trading, mutual fund share class due diligence, vendor management, Business Continuity Plan and Written Information Security Programs, Privacy Policy, as well as the annual compliance review and team members quarterly and annual certifications
• Filing and maintaining updated regulatory documentation for the firm, including the Form ADV, disclosure brochures, Compliance Manual and Code of Ethics
• Responding to regulatory investigations and queries as the principal point of contact; coordinating efforts related to audits, reviews, and examinations
• Providing compliance guidance to management and all team members
• Other compliance-related responsibilities as deemed necessary

REQUIREMENTS

• 5+ years of RIA work experience in risk/compliance in advisory financial services industry; and relevant leadership experience managing teams directly and indirectly
• BS/BA in Finance/Business Administration or relevant field required
• Expert knowledge of applicable SEC and FINRA rules and regulations, including Investment Advisers Act of 1940, and fiduciary laws and ERISA
• Previous interaction with SEC regulators
• Strongly preferred working experience with: Regulatory platforms (i.e. FINRA Gateway IARD/CRD/E-Bill), Custodial online interfaces (i.e. BNY Mellon and Pershing NetX360), Portfolio management systems (i.e. Black Diamond), CRM software (i.e. Junxure, Microsoft Dynamics)
• Compliance 5 years of experience preferred

Please send your resume to careers@schechterwealth.com

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