1. Home
  2. Remote Jobs
  3. Chief Compliance Officer

Chief Compliance Officer

Chief Compliance Officer Job Description

About Root

As one of the fastest-growing RIAs in the country, Root Financial's mission is to help as many people as possible get the most out of life with their money. Our human-first approach to financial planning guides clients toward their most cherished financial goals and we've assembled a world-class team of exceptional advisors and operations professionals committed to achieving this mission.

Position Overview

The CCO is a critical role within our organization, responsible for developing, implementing, and maintaining a comprehensive compliance program that meets all regulatory requirements. The CCO will serve as a key advisor on all compliance-related matters.

Key Responsibilities

  • Develop, implement, and maintain the firm's compliance program, ensuring adherence to all applicable federal and state securities laws and regulations.

  • Conduct regular compliance reviews and audits to identify and mitigate potential risks.

  • Oversee the firm's compliance policies and procedures, ensuring they are up-to-date

  • and effective.

  • Provide compliance training to employees on relevant regulations and industry best

  • practices.

  • Serve as the primary contact with regulatory agencies.

  • Manage and oversee the firm's compliance record keeping requirements.

  • Stay abreast of regulatory changes and industry trends, proactively updating the compliance program as needed.

  • Provide guidance and advice to firm personnel on compliance-related matters.

  • Oversee and manage any compliance-related vendors or consultants.

  • Develop and maintain a strong compliance culture within the organization.

Qualifications

  • Bachelor's degree in business, finance, law, or a related field.

  • Minimum of 5 years of experience in a compliance role within an RIA.

  • Strong knowledge of investment adviser regulations.

  • Experience in developing and implementing compliance programs.

  • Excellent communication, interpersonal, and presentation skills.

  • Strong analytical and problem-solving abilities.

  • Ability to work independently and as part of a team.

Benefits we offer.

  • Unlimited PTO

  • Medical, Dental, Vision, and Disability insurance

  • 5% 401(k) Match

  • Paid maternity leave

  • Paid paternity leave

Compensation for the role:

  • Competitive pay: Base starts at $180,000 - $200,000 + Bonus Incentives 

Apply for this job

Root Financial

Category

Legal

Employment type

Full-Time

Region

North America

Location

US Remote

Salary range

$180,000 - $200,000

Posted

2 days ago

Similar Jobs