DHJJ Financial Advisors is an SEC-registered investment advisory firm that has been providing investment management and financial planning services to its clients since 1988. Due to our significant growth, we are looking for an energetic individual to join our firm as the Chief Compliance Officer and to lead our compliance program. This person is responsible for ensuring that we meet all rules and regulations contained in the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, and all other applicable federal laws and statutes of the Securities and Exchange Commission (SEC).
The Chief Compliance Officer (CCO) will oversee all aspects of the firm’s compliance with the rules and regulations required by SEC-registered investment advisory firms. In such capacity, the CCO will be responsible for maintaining a “culture of compliance” for the firm and its advisory personnel.
- Oversee and implement all policies and procedures associated with the firm’s overall regulatory compliance program.
- Monitor the performance of the compliance program, including the performance of periodic risk assessments and compliance reviews to ensure policies and procedures are being followed by advisory personnel.
- Monitor, review, and approve all personal securities trading activity by advisory personnel.
- Perform other risk assessments such as investment approvals and allocations, conflicts of interest, best execution practices, internal review processes, cybersecurity measures, business continuity plan, record retention procedures, and e-mail reviews, etc.
- Manage the review and approval of electronic communications, presentations, sales literature, advertising, and other marketing materials, including the review of newsletters, articles, and website material for adherence to regulatory rules and regulations.
- Liaison between the Financial Advisory department and the IT (for cybersecurity and other technology issues) and Marketing (for marketing-related matters) departments.
- Educate advisory personnel on ever-changing securities laws and regulatory compliance matters to enhance their understanding of the firm’s Policies and Procedures and Code of Ethics, as well as the Cybersecurity program and Business Continuity Plan, to name a few.
- Prepare, review and electronically submit Form ADV, including the Annual Updating Amendment as well any Other than Annual Update that may be needed due to a material change.
- Attend educational compliance conferences to stay current with regulatory changes and best business practices as well as reading the SEC’s OCIE Risk Alert information in order to update compliance program and educate advisory personnel.
- Perform other duties necessary to keep the compliance program up to date.
- 5+ years of regulatory compliance experience in the investment advisory industry.
- Bachelor’s degree required; IACCP® designation desired.
- Strong knowledge and understanding of the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, and other relevant regulations and laws that pertain to investment advisory firms.
- Experience working in and/or dealing with the SEC.
- Excellent communication skills, both written and verbal, and an ability to interact with all levels of management and staff throughout the organization.
- Confident and assertive, and able to garner the respect of others and influence change at the Executive level and throughout the firm.
- Self-motivated with a commitment to excellence and high-quality standards.
- Highly organized and attentive to detail.
- Ability to work under pressure and meet deadlines in a fast-paced environment.
- Compensation commensurate with experience
- 401(k) plus Profit Sharing contribution
- Health insurance, dental, vision, disability
- Flexible work schedule
- Additional Paid Holidays