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Job Details

Chief Compliance Officer

Company name
Advisor Group.

Oakdale, MN

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Advisor Group Careers Our strengths, combined with the collective strengths of our advisors, provide powerful momentum to meet the next generation of challenges and opportunities. The Chief Compliance Officer (CCO) is responsible for implementation of compliance programs for their specific broker dealer within Advisor Group. The CCO will work closely with several key constituencies within Advisor Group including the Legal department, Network Compliance, Investment Advisory Compliance, Supervision Department and other departments as needed. The CCO position will be located in our Atlanta, GA or Woodbury, MN Firm and report to the Chief Risk Officer within Advisor Group. Responsibilities: Providing compliance oversight to WFS and FSC broker-dealer firms and Advisors. Developing an overall vision for compliance functional areas which effectively manages and mitigates risk. Establish and monitor for adherence to policies and procedures to ensure that broker-dealer compliance programs meet applicable laws and regulations and ensure that advisors\u2019 operations are conducted in compliance with applicable policies and procedures. Oversee compliance risk assessments and manage the department\u2019s testing and monitoring program in accordance with regulatory expectations and best practices. Work with senior management, legal department, compliance professionals, Registered Representatives and other key constituencies to encourage, promote, and enhance a culture that encourages ethical conduct and commitment to compliance with applicable laws and regulations. Serve as a subject matter expert when dealing with advisors on a variety of compliance, regulatory and business\/industry topics. Researches existing rules and monitors regulatory developments and communicates changes to affiliates and home office staff. Develops, implements, sustains, monitors and when necessary revises compliance programs that reflect \u201cbest practices\u201d and ensures the firm is adhering to all legal and regulatory requirements. Ensures that procedures are appropriately documented and referenced in the firm\u2019s compliance manuals and written supervisory procedures. Works with business partners and managers to ensure policies and procedures are in compliance with required regulations and assists in bringing non-complying areas into compliance. Responds to, oversees and\/or assists counsel with responses to regulatory inquiries. Plans, assigns, monitors, reviews, and leads the work of others. Travel up to 30% Performs other duties and responsibilities as assigned. Education Requirements: Bachelor\u2019s Degree from accredited university in Business, Finance or related field required Master\u2019s Degree is preferred Basic Requirements: Minimum 15 years of broker-dealer compliance experience Must have management experience Thorough knowledge of the broker-dealer business from a product, corporate governance, compliance and administrative perspective Thorough knowledge of FINRA and SEC rules and regulations Thorough knowledge of securities products (i.e. mutual funds, variable annuities, alternative investments and individual securities), compliance requirements.\u00a0 Ability to work well under pressure and under tight deadlines. Broad exposure to key functional areas of product due diligence, recruiting and retention Excellent ability to interpret and communicate regulatory guidance \u00a0 Preferred Requirements: Desired competencies include: Action oriented, command skills, leading and developing direct reports, innovation, continuous improvement, managerial courage, accountability, measuring change, metrics focus, and drive for results Series 7, 24 Required, Series 65\/66 preferred Current Employees Apply Here

Company info

Advisor Group.
Website :

Company Profile
Advisor Group is among the largest networks of independent broker-dealers in the United States. The four broker-dealers that comprise Advisor Group – FSC Securities Corporation, Royal Alliance Associates, SagePoint Financial, and Woodbury Financial Services – foster the spirit of entrepreneurship and independence that is exemplified by our over 5,000 affiliated advisors

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