Chief Compliance Officer

SEC registered RIA seeking a chief compliance officer

RFG Advisory is seeking an energetic, diligent and innovative individual to join our team! This role will be both challenging and rewarding requiring a diverse skill set and a resourceful attitude. You will have the opportunity to serve as an essential member of our leadership team and contribute to the success of RFG at the highest level.

In this role, you will oversee all facets of the RIA’s compliance. Responsibilities include developing and maintaining policies and procedures and the overall design/maintenance of the compliance program. The CCO will be responsible for reporting compliance with regulatory requirements, and maintenance of firm policies and supervisory procedures. The CCO will guide the firm through new regulations and expanded business initiatives.

Our corporate headquarters are in Birmingham, AL but this position could be in our corporate office in Saint Louis, MO (Creve Coeur).

Requirements:

  • Licensing: Series 66 or 65; 7; 24 or 9/10 and 63
  • Bachelor’s degree required; JD preferred

Ideal Candidate:

  • As a hybrid RIA, the candidate must be knowledgeable in functioning effectively as an OSJ delegate for our unaffiliated broker dealer
  • Extensive experience with and knowledge of the investment advisers act of 1940.
  • Experience with SEC registered RIA quarterly and annual filing requirements.
  • Excellent oral and written communication skills.
  • Strong critical thinking skills.
  • Loves a challenge.
  • Passionate about the industry and being part of a high growth RIA.
  • Thrive in a fast paced and ever-changing environment.
  • An ardent problem solver.
  • Manage and effectively influence while providing advice and guidance.
  • Strong ability to identify and mitigate risks.

Responsibilities:

  • Manage and continue to develop a team of compliance professionals.
  • Perform as an integral part of the leadership team.
  • Ensure appropriate compliance policies, procedures, and controls are established, maintained and well documented.
  • Support and research business initiatives with focus being on identifying and protecting the firm from legal and regulatory risks.
  • Engage with other leadership team members to improve our system of compliance and continue to establish or enhance policies and procedures to mitigate risks.
  • Prepare for and respond to regulatory inquiries, exams, and broker dealer reviews.
  • Develop and deliver education on compliance policies and procedures to ensure proper understanding of regulatory risks and responsibilities.
  • Provide guidance and support to our financial advisors and other business partners as required.
  • Partner with outside legal teams and our consulting firm to proactively analyze and manage changes to regulatory requirements and ensure risks identified have been sufficiently mitigated.

About RFG:

RFG Advisory is an innovator in the wealth-management industry. Recognized by Investment News as a 2021 Best Places to Work for Financial Advisers, our team of A-players have a servant heart and a warrior mindset. What drives our success is a team of professionals from a diverse spectrum of industries who work together to foster independence of Financial Advisors across the country. Our team is growing and seeking A-player talent to help us build the RIA of the future.