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Connecticut Wealth Management (CTWM) is a well-established, fast-growing, independent, registered investment advisory firm. CTWM is currently hiring an experienced Director of Compliance who is committed to leading the charge to ensure that the firm follows industry regulations and best practices.
- Develop and maintain a culture of compliance with the firm culture that elevates the client and team experience.
- Serve as the primary representative, subject matter expert, and advocate for excellence in compliance functions.
- Ensure all items on the compliance calendar are completed accurately and in a timely manner (i.e., Annual updates, ADV filing, ADV 2B updates, U4s, EDGAR filings, etc.). Communicate and coordinate important key dates and deliverables with team members.
- Provide strategic direction to the firm and management team on compliance initiatives and issues.
- Be the internal liaison to the external Compliance Consultant as needed. Ensure they are delivering on their commitments and meeting expectations.
- Prepare and present clear and concise compliance reports and developments to leadership and firm. Keep leadership apprised of all compliance challenges and liabilities.
- Coordinate internal compliance reviews and monitor all necessary activities (i.e. personal trading reports, email monitoring, social media monitoring, etc.)
- Work with department heads (i.e., marketing, investments, operations) to ensure efficient, compliant processes and recordkeeping are created and maintained. Educate other leaders on the context and importance behind compliance policies.
- Develop an ongoing campaign to heighten awareness of compliance programs and processes. Disseminate compliance information and collect employee feedback as appropriate.
- Educate the team about compliance policies and legal changes. Provide group training and/or one-on-one support/education as needed.
- Ensure all teammates are compliant in terms of procedures and recordkeeping. Hold teammates accountable for compliant practices and reporting.
- Develop, monitor, and maintain effective compliance policies and procedures and a Code of Ethics in accordance with applicable laws and regulations.
- Hold teammates accountable for following proper procedures.
- Maintain a disaster recovery plan and communicate regularly with the team.
- Work with technology partners to ensure cybersecurity policies, practices, and systems are compliant.
- Coordinate all efforts related to audits, reviews, and examinations. Facilitate annual custody exam with external partners.
- Develop policies and programs that encourage managers and team members to report suspected fraud and other improprieties, without fear of punishment or retaliation.
- Independently investigate and act on matters related to compliance.
- Arrange and execute all external review processes and subsequent feedback.
- 10 years of experience in a related Compliance position. Preference for working in the investments/financial services industry.
- High ethical standards and integrity.
- Excellent knowledge of Compliance principles and laws.
- Experience and a strong willingness to learn and communicate new compliance developments and how they can impact the firm.
- Commitment to professional development and proactive research.
- Experience working with a leadership group in reinforcing compliance standards.
- Excellent analytical thinking and ability.
- Excellent communication skills and the ability to translate complex guidelines into basic messages and policies.
- Will need to work in our Farmington, CT office regularly with some work-from-home flexibility.
Why work for us?
CTWM’s mission goes beyond its clients to include its rapidly growing team of driven individuals. The firm is committed to creating career paths and growth opportunities for every team member. For over a decade, CTWM has built an inclusive and fun-loving work environment that aims to build genuine connections with both clients and team members. Additionally, the firm is committed to devoting time and resources to charities and volunteer work in the surrounding community.
- Medical, dental & vision insurance (plus full HSAs contribution)
- Firm paid life, long-term & short-term disability
- Sick time and five (5) weeks paid vacation
- Parental leave and longevity sabbatical plan
- 401(k) plan with employer contributions
- Firm-paid certifications and continuing education opportunities
- Paid volunteer time
- Robust wellness program & on-site gym
- Career growth and development opportunities
To apply, please send your resume to Deborah Hopper at email@example.com.
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