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Gries Financial Partners (Cleveland, OH or Remote) Seeking Chief Compliance
Location:
Cleveland, OH
Description:
Gries Financial Partners (Cleveland, OH or Remote) Seeking Chief Compliance Officer (CCO)February 29, 2024Gries Financial Partners (GFP) Seeking Chief Compliance Officer (CCO)GFP is an independent, fee-only RIA founded in 1978. We are headquartered in Cleveland, OH with AUM/AUA of approximately $1.5 billion. We currently have outsourced the CCO role and would like to bring this function in-house. This can be a remote (with quarterly visits to Cleveland office) or hybrid position for the right candidate.Main Responsibilities: Review, enhance and maintain firm's compliance program and keep up with regulatory changes Manage SEC and other regulatory examinations Regulatory filings including updating ADV/U4 Compliance training Reviewing and testing firm's policies and procedures Review / approve marketing materialsRequirements: Prior relevant experience working for a similar-sized RIA in a CCO or senior compliance role Experience overseeing SEC and other regulatory exams Experience with all regulatory filings with IARD system knowledge Ability to be a one-person compliance team (with support from outside compliance consultant and legal counsel) Ability to take a balanced view on compliance matters, balancing compliance as well as business requirements Industry certification (or 5+ years of experience as a CCO at a similar RIA) Clean BrokerCheck / background check reportSalary and Benefits: Competitive compensation package, based on experience Medical insurance, including dental and vision plan 401(k) plan with company match Paid time offAPPLY NOW: Send your resume, reason for looking for a new role and US citizenship status to XXXX@gries.com #J-18808-Ljbffr
Company:
Hifon Group
Posted:
November 12 on TopUSAJobs
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More About this Listing: Gries Financial Partners (Cleveland, OH or Remote) Seeking Chief Compliance
Gries Financial Partners (Cleveland, OH or Remote) Seeking Chief Compliance is a Accounting & Finance Gries Financial Partners Job at Hifon Group located in Cleveland OH. Find other listings like Gries Financial Partners (Cleveland, OH or Remote) Seeking Chief Compliance by searching Oodle for Accounting & Finance Gries Financial Partners Jobs.
Gries Financial Partners (Cleveland, OH or Remote) Seeking Chief Compliance is a Accounting & Finance Gries Financial Partners Job at Hifon Group located in Cleveland OH. Find other listings like Gries Financial Partners (Cleveland, OH or Remote) Seeking Chief Compliance by searching Oodle for Accounting & Finance Gries Financial Partners Jobs.