- Develop, implement, and oversee all aspects of the company's compliance program to ensure adherence to regulatory requirements and industry best practices.
- Manage trade corrections and ensure accuracy in all trading activities.
- Oversee IAC/PSR approvals and FINRA U4 filings.
- Manage licensing requirements and any other compliance obligations not handled by our third party compliance team.
- Provide strategic guidance and oversight to maintain the highest standards of integrity and ethics across all aspects of our operations, including compliance with regulatory requirements related to billing processes.
- Conduct regular compliance audits and assessments to identify areas of improvement and implement corrective actions as needed.
- Oversee compliance operations related to advisor tasks, including training, licensing, and ongoing regulatory requirements, to ensure our team operates within legal and ethical guidelines.
- Serve as the primary point of contact for regulatory inquiries and examinations, coordinating responses and ensuring timely resolution of any issues.
- Foster and manage the strategic relationship with Charles Schwab, including appointing new advisors, overseeing trading activity, and addressing high-level issues and opportunities.
- Collaborate with other departments to integrate compliance considerations into business processes and initiatives.
- Oversee various additional back-office responsibilities to support the overall compliance and operational functions.
- Bachelor's degree in finance, business administration, legal studies, or a related field; advanced degree or relevant certifications preferred.
- At least 2 years of experience in a compliance role within the financial services industry, preferably at a Registered Investment Advisor (RIA) firm or fiduciary.
- Strong understanding of SEC and FINRA regulations governing RIAs, as well as knowledge of relevant state regulations.
- Experience developing and implementing effective compliance programs and procedures.
- Excellent communication and interpersonal skills, with the ability to effectively interact with regulators, senior management, and staff at all levels.
- Experience in managing regulatory examinations and inquiries, including preparing responses and implementing remediation plans.
- Knowledge of anti-money laundering (AML) regulations and procedures.
- Familiarity with risk assessment methodologies and mitigation strategies.
- Ability to analyze complex regulatory issues and provide practical guidance and solutions.
- Proficiency in Salesforce.
- Certified Regulatory Compliance Manager (CRCM), Certified Securities Compliance Professional (CSCP), or other relevant compliance certifications.
- Experience with compliance management software and systems.
- Demonstrated ability to effectively lead and manage a team, promoting a culture of excellence and accountability.
- In-depth knowledge of investment advisory platforms and technologies.
- Strong analytical and problem-solving abilities, with a proactive and solution-oriented approach.
- Ability to adapt to a fast-paced and dynamic environment, with a commitment to continuous learning and professional development.
- Experience in conducting compliance training programs for employees at all levels.
- Familiarity with cybersecurity regulations and best practices for protecting client data.
- Knowledge of financial planning software and tools.
- Experience with Charles Schwab a bonus
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Director of Compliance - Atlanta, United States - Strategic Wealth Designers
Description
Are you a seasoned compliance professional with a passion for ensuring regulatory adherence in a dynamic and fast-paced environment? Do you excel at implementing and maintaining compliance policies and procedures while fostering a positive and supportive workplace culture? If so, we want to hear from you
Strategic Wealth Designers (SWD) is a full-service financial firm specializing in assisting clients near or in retirement. With a dedicated team of advisors, marketers, and client relations specialists, we prioritize success and reward hard work. SWD values a close-knit, collaborative environment and seeks individuals who bring a positive attitude and a commitment to excellence. As we continue to grow, we are looking for a Director of Compliance & Back Office Administration to join our team and ensure that our firm operates in compliance with all regulatory requirements while maintaining our exceptional work culture.
Job Description
Strategic Wealth Designers is seeking a Director of Compliance & Back Office Administration to lead our firm's commitment to regulatory excellence and client protection. In this role, you will develop and implement compliance programs, ensuring adherence to industry regulations and best practices and lead our back office administrative needs such as client billing, trading, and administration. As a key member of our leadership team, you will provide strategic guidance and oversight to maintain the highest standards of integrity and ethics across our operations, ensuring compliance with all regulatory requirements.
Responsibilities/Tasks:
Minimum Requirements:
Additional Preferred Skills:
Compensation: Starting salary range $70-95k dependent upon experience. Also included are full medical/dental/vision benefits, 401k plan with company match, a generous PTO schedule, and 11 paid holidays including your birthday
Location: Atlanta, GA
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