Chief Compliance Officer
Core Ventures Alpharetta, GA
- Expired: over a month ago. Applications are no longer accepted.
Chief Compliance Officer
Merit Financial Advisors
Location: Alpharetta, GA
Merit is a fast growing, pioneering financial services firm that invests heavily in the growth and development of team members. Merit seeks to establish, educate, and help individuals reach their financial goals as they transition into and experience retirement. With an unswerving commitment to excellence and reliability, Merit provides objective financial advice and believes in establishing long-lasting relationships. By offering an array of services, clients can receive tailored solutions that are aimed at promoting growth and help them work toward their financial goals.
Merit believes in addressing the retirement challenges in America by helping clients reach financial freedom and confidence to the working population and retirees alike. This focus on comprehensive financial wellness enables us to deliver the ultimate client experience.
Headquartered in Alpharetta, GA, with eleven additional locations across the southeast and northeast, Merit balances tactical advice with innovative strategy. Our 100 hardworking employees are leaders rooted in humility and we are poised to grow. Merit is a multi-generational firm with a foundation built around servant leadership and total team leadership. We have been recognized as a Best Places to Work by InvestmentNews and have made the fastest growing companies list in both INC 5000 and Georgias Fastest 40. As we expand and work to bring our relationship-driven approach to the financial industry, we are looking for the right individuals to join our team.
The Chief Compliance Officer is a key member of the Merit team, and will oversee all compliance and regulatory interaction for the firm, while being a liaison for other departments and firm leaders. The CCO will develop and maintain policies and procedures, and oversee the overall design and maintenance of the compliance program including managing and developing branch examinations.
This person will be responsible for leadership, development, mentoring, and team building within the compliance department. The CCO will be a member of the Cybersecurity Team, guide Merit through compliance training, and identify gaps and implement corrective actions with employees when necessary.
Travel may be required.
- 10+ years of general compliance experience, with most recent experience being in a $3.5 Billion RIA firm or larger
- 3-5 years experience as a CCO or in a senior compliance leadership position
- Experience with different types of SEC exams
- Compliance auditing experience
- Experience in managing, testing, monitoring and oversight of compliance policies
- Previous FINRA/BD experience, preferred
- IARD system knowledge, preferred
- ADV/U4 knowledge, preferred
- Industry conference speaker or panelist experience, preferred
Salary + Benefits:
- Competitive, based on experience
- Medical Insurance
- Dental/Vision Insurance
- Life & Personal Accident Insurance
- Short-term Disability Insurance
- Long-term Disability Insurance
- Flexible Spending Account (FSA), Health Savings Account (HSA) or Dependent Care FSA
- 401(k) Plan with company matching
- Paid Time Off (PTO) and paid holidays
Best Places To Work for Financial Advisors 2018-2021: Best Places to Work for Financial Advisors 2018, 2019, 2020 & 2021 Recognized firms were required to be a registered investment advisor (RIA) that has been in business at least one year and having a minimum of 15 full-time/part-time employees. The assessment consisted of a questionnaire on benefits and policies completed by human resources staff along with an engagement & satisfaction survey completed by a minimum of 40% of staff. 50 firms were selected for this award from an undisclosed list of submissions. There was no charge to be included in this award listing.
Georgia Fast 40 2019: The Georgia Fast 40 for 2019 was awarded by the Atlanta Chapter of the Association for Corporate Growth. To be eligible companies must be for profit and headquartered in Georgia and the most recent year-end revenues ranging from $15 million to $500 million and have three years of verifiable revenue and employment growth.
Inc 5000 2019, 2020 & 2021: The Wilshire 5000 Total Market Index, which consists of more than 5000 companies, represents virtually all of the capitalization of the entire U.S. stock market.
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