Overview

Job Description :

Our firm is an SEC Registered Investment Advisor with 6 locations throughout Connecticut. We provide financial and investment planning advice to affluent families, professionals, and business owners. Our dedicated team of advisors is experienced, engaged, and professional.  Together, we provide our clients with an extraordinarily high level of service.

Our Chief Compliance Officer will lead the continuous enhancement and operation of the firm’s current compliance program, ensuring our adherence to all FINRA and SEC rules and regulations.

This position serves as a principal consultant to our partners by providing necessary advice, training, and risk assessment pertaining to all broker/dealer and advisory activities.   Establishment and maintenance of an effective compliance culture that creates a predictable environment within the firm is essential.

Requirements

5+ years in a financial services/advisory regulatory management capacity
Solid working knowledge of FINRA, SEC, and state securities rules and regulations
FINRA Series 7, 24, 63 & 65, or 66
Responsible, analytical, and able to use sound reason and judgement
Energetic and motivational leadership skills
Exceptional organization and prioritization abilities
Professional and genuine demeanor realized from superior confidence in own abilities
Meticulous record keeping practices
Proactive and dedicated to client service
Clear understanding of back office administration/firm operations
Superior written and verbal communication skills
Technology savvy with ability to create comprehensive presentations
Adaptable team player with ability to stay on task in fast-paced environment
Willingness to be held accountable for decision making and outcomes

Responsibilities 

Effectively enhance and maintain internal compliance control program including branch assessment, surveillance, and audit which optimize risk mitigation for clients on both broker/dealer and investment advisor platforms

Efficiently maintain required books, records, and operating procedures including but not limited to: timely internal audit checklists, correspondence, complaints, gift logs, ADV filings, written supervisory procedures, business continuity plans, code of ethics, and firm related disclosures

Work as liaison to partners and RIA legal counsel to ensure appropriate support if needed for any and all litigation, arbitration, reparation proceedings and all other regulatory, criminal and civil matters revolving around the firm’s activities.

Prepare for and facilitate broker/dealer and regulatory audits and requests as required, possess ability communicate both verbally and in writing with regulators in a professional and concise manner

Provide supervision to all advisors and advisory staff including review of emails, marketing materials, all new accounts, trades, and transactions

Maintain calendar and detail of office location visits, both scheduled and unscheduled and ensure all offices are in “client ready” order, have physical and electronic security measures in place (PII, cyber security)

Consistently be available to engage with advisors/staff to resolve issues, reiterate best practices, and keep communication open

Demonstrate ability to effectively analyze situations, absorb large amounts of information, and apply past experience and judgment to resolve issues in a timely manner

Create, document, and implement practice operations processes and procedures based on regulatory requirements (trading, sales practices/suitability)

Review and approve all marketing communications including website content, social media, advertising, and correspondence

Supervise and Delegate to Firm Operations Coordinator as required

Regularly provide the most relevant, significant, or required industry information, training, and education to advisors/staff, in the form of email communication, webinars, and quarterly compliance meetings

Monitor and document advisor licensing, required continuing education, and E&O certificates

Master all broker/dealer provided and firm utilized technology in order to assist advisors/staff and appropriately surveil on these levels: Branchnet (Reporting Tool), Clientworks, ProSurv, Morningstar, Redtail, etc.

Present examples of extreme value added by the firm’s unique high level of oversight to recruits

Develop program to educate and train onboarding advisors/staff for seamless transition

Serve on Board of Directors and/or Investment Committee, Oversee Firm Projects

Please send resumes and salary requirements to Julie Connelly, Director of Financial Operations & Human Resources at jconnelly@nstarwp.com