Chief Compliance Officer
Houston, TX, USA | Travel Guard
Industry:Insurance - General
Legal / Compliance
Job Description:66 people have viewed this job
Lead, manage and deliver an effective compliance function supporting VFA‘s Broker-Dealer program.
Establish strong working relationships with internal and external business partners, clients and regulatory bodies.
Provide end-to-end compliance oversight including developing and maintaining effective controls designed to monitor the effectiveness of the compliance program; ensuring and supporting the review of the appropriateness of the compliance system and procedures and implement necessary remediation for any identified deficiencies.
Maintain in-depth knowledge of the business and its activities in order to ensure adequate compliance oversight and resources as the business needs evolve over time; advise the business on emerging compliance issues.
Provide periodic reporting to senior management, boards of directors and other Company stakeholders.
Identify and respond to ongoing regulatory changes, ensure implementation of required policies and procedures and appropriate operational and compliance oversight.
Ensure completeness, accuracy and timeliness of all applicable regulatory reporting requirements and disclosures.
Participate and, where appropriate, coordinate and lead resolution of significant regulatory inquiries and customer complaints.
Develop solutions and lead any required remediation of compliance gaps to completion.
Maintain and update the broker-dealer advisor Compliance manual and assist in annual and periodic review of the firm’s written supervisor procedures.
Oversee and coordinate surveillance, monitoring and annual testing to ensure effectiveness of the broker-dealer Compliance program.
Represent the Broker-Dealer Compliance group in cross functional firm initiatives contributing and working with the VFA CCO, investment adviser.
The ideal person for this role should have managerial experience and knowledge in managing a compliance department, including maintaining policies and procedures; overseeing compliance risk assessment processes; implementing compliance training programs; and monitoring and remediating potential violations of policy or law.Candidates will be expected to possess the following professional and personal attributes:
A strong educational background including an undergraduate degree and a minimum of 10 years of relevant experience.
MBA or Law Degree a plus.
FINRA series 7 license required; series 24 and 65/66 licenses strongly preferred.
Demonstrated compliance, operations or legal experience with a financial services organization – broker-dealer experience required, variable and fixed annuity compliance experience highly preferred.
Willingness and ability to perform routine tasks.
Familiarity with the knowledge of the securities industry, from a product, corporate governance, compliance and administrative perspective including knowledge of Federal Securities regulations.
Experience and knowledge of FINRA, SEC, state securities and firm-specific rules and regulations.
Demonstrated ability to influence and work effectively and cross-functionally within a highly-matrix organization with employees at all levels and in particular key stakeholders.
Thinks critically and strategically through business issues while be able to perform tactical tasks including conducting risks assessments and leads/performs in testing of broker-dealer compliance programs.
Strong communication skills and presence with the ability to speak with impact, influence outcomes; simplify complex topics into actionable recommendations for decision-making.
Able to perform innovative thinking to solve complex problems with no established precedence while balancing risk, speed, accuracy and embracing pace over perfection.
Self-starter with the ability to meet or exceed deadlines, prioritize, multi-task, and maintain flexibility in fast-paced, changing environment.
Comfortable with ambiguity, developing and enhancing broker-dealer compliance program elements.
Strong problem-solving skills and the ability to confront conflict and difficult issues in a professional, assertive and proactive manner.
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