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Chief Compliance Officer

Cincinnati, OH, USA | HORAN

  • Industry:
    Insurance - Health & Life
  • Position Type:
    Full-Time
  • Functions:
    Legal / Compliance
  • Experience:
    5-7 years
Job Description:
77 people have viewed this job

The Chief Compliance Officer is responsible for developing, maintaining, managing, and monitoring regulatory compliance programs for a State of Ohio Registered Investment Advisor, a SEC Registered Investment Advisor and a Registered Broker/Dealer. The Chief Compliance Officer will be principally responsible for ensuring the adequacy of the firm’s compliance policies and procedures and the effectiveness of their implementation, and for assisting the firm in maintaining a culture of compliance. He/she will focus on defining compliance standards via policies and procedures, training, auditing and monitoring, facilitating internal reporting, managing regulatory examinations, and keeping the senior management informed on relevant compliance matters. 

 

Core Responsibilities:

Assist in setting the tone to reflect the company's reputation for ethics, integrity and honesty in all dealings

In depth knowledge and experience of Federal Securities Laws, industry practices, and other regulatory requirements relating to investment advisers including the Investment Advisers Act of 1940.

Detailed working knowledge of FINRA rules, the Investment Advisers Act, the Investment Company Act and other laws, rules and regulations that relate to BDs, and RIAs. 

Manage all aspects of compliance for our two Investment Advisory entities, Broker/Dealer, Horan Retirement, and Life Division.

Ensure that Horan’s compliance programs are comprehensive, robust, and current; and policies and procedures reflect the firm’s business processes.

Facilitate training on all compliance-related matters.

Conduct all required internal audits and provide regular reports to senior management.

Create, update and maintain compliance policies and procedures to ensure that all operations of the firm are in compliance with industry regulations.

Review all new business for suitability.

Maintain and review trade blotters for accuracy and suitability.

Liaise with General Counsel to provide ongoing advice in relation to implications of legislation and regulations affecting the business.

Manage the registrations and filings of the firm and its personnel within appropriate regulatory agencies such as with the State of Ohio, the SEC and FINRA.

Responsible for managing all regulatory exams (federal or state).

Maintain knowledge of all SEC, State of Ohio and FINRA regulations through ongoing education and involvement with industry peers/groups.

Oversee marketing to ensure compliance standards are applied to all marketing materials.

Maintain records/documentation required by regulatory agencies and client contracts.

Ensure supervisory control systems are established and oversight of those controls are reviewed annually and are changed and updated as necessary.

Serve as the Firm’s Anti-Money Laundering Officer and manage all aspects of the Firm’s Anti-Money Laundering Program.

Serve as the Firm’s MSRB Principal and oversee compliance with MSRB rules and regulations governing 529 plans.

Strong attention to detail; the ability to use logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to problems.

Excellent presentation, oral and written communication skills.

Demonstrates proficiency in Microsoft Office products, especially Word, Excel and PowerPoint.

Assume additional responsibilities and special projects as needed.

Qualifications Required:

4-year degree from an accredited University.

Minimum of 5 years (preferably more) of compliance experience. 

Compliance professional of dually registered firm.

Required Licenses:

Series 6 or 7

Series 63

Series 24 or Series 26

Series 51 or Series 53

Desired Skills:

Certified Regulatory and Compliance Professional (CRCP).

Investment Advisor Certified Compliance Professional (IACCP) or Investment Advisor Core Compliance Program.

Health and Life License.


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