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Chief compliance officeR

Company: Corvus Wealth Advisors
Location: San Luis Obispo
Posted on: June 10, 2024

Job Description:

We are always on the lookout for enthusiastic, committed, and detail-oriented individuals to contribute to our formula for success. Our priority is putting our clients' needs first and if you're someone who has superior client service skills and a great work ethic, we want to hear from you.As an established firm, we're continuously growing our financial advisory business to offer the tools, resources, and motivation necessary to help our clients, and one another, build a great future.Minimum Requirements for All Positions:

  • Ethical
  • Positive and constructive
  • Service focused
  • Team player
  • Tech-savvy
  • Value work-life balance
  • Committed to continuous learningCompensation, Logistics and Perks:
    • Competitive salaries benchmarked annually
    • Some positions eligible for incentive bonuses
    • 401(k) Plan after 6 months of full-time employment with discretionary match and safe harbor contribution
    • Health Reimbursement Allowance (HRA) monthly after 90 days
    • Starting at 120 hours of PTO accrued annually
    • 9 Paid holidays annually
    • In-office work at two locations, San Luis Obispo and Templeton, on the beautiful Central Coast of California
    • A friendly and transparent work culture that values a work-life balance for all employees
    • Casual, yet professional office dress
    • Free financial planning and investment management for employee accounts
    • Matching donation to a non-profit, as well as flex time to allow for up to 20 hours of service annuallyAvailable PositionsA Financial Planning Associate works closely with the Advisor/s and assists with the day-to-day support and service of private wealthmanagement clients and non-profi t endowments or family foundations.
      • Comprehensive Financial Planning, including retirement planning, education planning, insurance needs analysis, cash-flow needs,debt analysis, estate planning, and tax planning
      • Client relationship support and management
      • Operational support and client service
      • Client account opening and maintenance
      • Previous experience working for a registered investment advisor (RIA) is preferred.
      • Bachelor's degree (strong preference for finance-related fields)
      • Willingness to obtain further credentials, such as the Series 65 certification, Financial Paraplanner Qualified Professional (FPQP),or the CFP certificationChief compliance officeRA Chief Compliance Officer (CCO) is responsible for developing and implementing compliance policies and procedures for the firm to ensure we remain compliant with SEC and FINRA regulations. Additionally, a CCO will conduct regular compliance training for employees, stay up-to-date with regulatory changes, review marketing materials for compliance, investigate and resolve compliance issues, and serve as the point of contact for regulatory agencies.
        • Ensuring company policies and procedures for the firm are compliant
        • Conducting regular compliance training for employees
        • Staying up-to-date with regulatory changes and ensure the firm remains compliant
        • Serving as the point of contact for regulatory agencies and preparing and submiting all regulatory filings
        • Ensuring that the firm's books and records are properly maintainedREQUIREMENTS FOR A chief compliance officer:
          • 5+ years of experience in a compliance role within the wealth management industry
          • Strong knowledge of SEC and FINRA regulations
          • Excellent communication and interpersonal skills
          • Ability to work independently and prioritize tasks
          • Detail-oriented and able to analyze complex information
          • Professional certifications such as CFA or CFP, or a JD degree are a plus
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Keywords: Corvus Wealth Advisors, San Luis Obispo , Chief compliance officeR, Executive , San Luis Obispo, California

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