Chief Compliance Officer
Calton & Associates, Inc. is currently seeking an experienced Chief Compliance Officer to join our team in Tampa, FL.
Calton & Associates, Inc. Overview
Calton & Associates is a one of the nation’s long standing broker dealers, RIA and Insurance Agencies servicing independent financial professionals. Founded in 1987, Calton & Associates has built a solid foundation for supporting independent financial professionals and the growth of their business. Through a comprehensive range of financial products and services, Calton & Associates helps advisors pursue the appropriate financial solutions to support a clients’ needs. With over 150 offices nationwide Calton & Associates is a family friendly broker dealer for quality advisors who want independence along with support to grow their business.
Calton & Associates is looking for a highly motivated and experienced Chief Compliance Officer (CCO) to oversee the broker dealer, RIA and Insurance agency compliance. This position will oversee and lead the Compliance department for the firm. He/She will lead all compliance issues along with regulatory interaction and audit functions.
This position will be responsible for developing, implementing, communicating, and reviewing corporate policies, procedures, trends and systems designed to enable the broker dealer and RIA to effectively manage risk and remain in Compliance with the various regulatory authorities. The CCO will be responsible for ensuring that Calton’s reporting complies with regulatory requirements and firm’s policies and supervisory procedures.
Qualified candidates will have 5 or more years of direct experience managing the compliance program/department for a broker dealer, RIA and Insurance Agency. Familiarity with ERISA rules and regulations and how it relates to the broker dealer and RIA compliance is essential.
Essential Job Duties & Responsibilities
- Formulate and communicate a strategic vision for compliance within 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.
- Provide strategic direction for the Compliance department including employee selection, performance management, and development.
- Review and maintain firm compliance policies including the WSP’s in response to changing regulations and financial industry trends. Additionally, Identify and monitor trends in internal and external and assess their impact on the organization.
- Participate in and manage branch office and register representative audits and inspections.
- Support the review of advertising material, sales literature and correspondence for internal/external registered representatives and IAR’s.
- Create, manage and deliver annual compliance trainings (Firm, Regulatory, AML, etc.)
- Manage and respond to all regulatory inquiries, also act as company liaison with regulators
- Consult with Calton sales, marketing, RIA, operations and other departments on compliance, supervision, management, and complaint issues
- Research regulations and communicate any findings with the management team, field advisors, their office staff, and internal employees.
- Prepare annual reports for CEO of Calton & Associates
- Give compliance updates at all Calton board of director and shareholder meetings
- Responsible for maintaining and updating the Calton RIA ADV
- Four year college degree
- Masters or JD degree preferred
- FINRA Licensed
- Series 7
- Series 24
- Series 63
- Series 65/66 preffered
- Knowledge of computer skills including
- Microsoft Word
- Microsoft Excel
- Microsoft PowerPoint
- Strong verbal and written communication skills
- Strong attention to detail
- Highly organized
- Ability to multitask efficiently and effectively
- Knowledge of the financial services industry
Compensation and Benefits
- Base salary
- Company profit sharing plan
- Company 401(k) and matching program
- Medical coverage
- Dental coverage
- Life insurance coverage