Chief Compliance Officer

Gravity IT Resources

Apply Now

Job Title: Chief Compliance Officer (Series 24)

Location: Charleston, SC (Remote)

Job-Type: Permanent

Referral Fee: $1500+

Position Overview:

Gravity is looking for an experienced compliance officer with a background supporting a wealth management firm.  This role will provide key oversight and supervision. Our client is backed by a private equity firm and quickly expanding their national footprint.  

Duties & Responsibilities:

· Oversee the design, development, delivery, and maintenance of best in class compliance program

· Providing oversight and guidance over the assessment of complex issues, creating solutions, and delivering resolution with senior stakeholders

· Email reviews and approving marketing brochures

· Conduct due diligence in reviewing subscription agreements and contracts

· Provide regulatory reviews

· Review trade operations and managing assistant compliance officer

Required Experience & Skills:

· 5+ years of experience supporting financial advisors, small shop preferred

· Series 24 required

· JD a plus

 

Brett.Connolly

Apply Now