Chief Compliance Officer (Kansas City)
Frontier is a registered investment advisory firm that offers a comprehensive range of financial services and advice to high net-worth clients throughout the United States. The Chief Compliance Officer is responsible for all of Frontier’s compliance initiatives and will report to the Chief Executive Officer.
Responsible for the firm’s compliance with firm policies and government/industry regulations, including identifying and assessing the compliance risks of the firm, implementing effective policies and procedures, creating policies and procedures that address and allow each compliance risk to be effectively managed, and reviewing the policies and procedures to determine their continued adequacy and effectiveness. Also responsible for counseling firm personnel on best practices to achieve optimum confidence in personal compliance matters and assisting firm personnel in solving and/or eliminating compliance questions and/or risks.
- Practice Frontier’s Core Values.
- Commitment to continual learning and personal development.
- Develop, implement, and monitor firm policies and procedures to ensure that all activities and operations are carried out in compliance with industry regulations and corporate standards.
- Advise business units on regulatory and compliance matters.
- Respond in a timely and professional manner to questions and issues from firm personnel regarding compliance issues.
- Provide reports on a regular basis to keep senior management informed of the progress and status of the compliance program and advising them of new developments in ethics and regulatory compliance.
- Conduct annual compliance meetings and audits.
- Serve on Compliance, Best Execution, and Asset Allocation committees.
- Respond to regulatory, legal and customer requests, complaints, and inquiries.
- Assist regulators during audits and examinations.
- Review audit results and implement and monitor corrective policies and procedures.
- Review all advertising and marketing material for proper disclosures.
- Maintain black-out and restricted lists.
- Review and file SEC reports.
- Periodically test risk areas to ensure proper policies and procedures are in place.
- Supervise compliance personnel.
- Bachelor’s degree required
- 7 to 10 years of regulatory experience
- Expert knowledge of regulatory and legal structure
- In-depth knowledge of capital markets and asset management products
- Knowledge of the fund industry
- Proven track record of successful implementation and follow-up
- Excellent presentation and public speaking skills
- Must be a self-starter with the ability to work independently
- Ability to think and execute at both a detailed and high-level
- Team player, results-driven, “get-it-done” attitude
- Juris Doctorate
- Regulator experience
- Full-time salaried position with the opportunity to earn annual bonus
- Medical, vision, dental and life insurance
- Unlimited paid time off and company 401(k) plan offered
- Collaborative office environment
For more information, email email@example.com.