Who We Are:
We’re a six-time Best Places to Work award winner in Business Insurance who has earned the 5-Star Diversity, Equity and Inclusion (DEI) award from Insurance Business magazine. We are also recognized as an Elite Agency award winner and named as a Top Employee Benefits Firm. We are a leading Insurance Broker and Consultant that provides Employee Benefits, Property & Casualty, and Retirement and Individual Private Client solutions to help our clients reach and realize their goals because we believe business is personal.
Our personal commitment to our team and our clients has created long-lasting and successful relationships across our growing 300+ nationwide offices and 17 international locations. To learn more, please visit: https://www.NFP.com.
NFP Retirement Services is looking for an RIA Chief Compliance Officer.
The RIA Chief Compliance Officer is responsible for overseeing all aspects of NFP Retirement’s compliance program and team members of the compliance team. This individual will have significant input into shaping and implementing the RIA compliance program and implementing future changes as regulations and requirements change.
This is a hybrid role and will sit within our Aliso Viejo office.
Responsibilities:
- Maintain and improve the firm’s overall RIA compliance program, including maintenance of compliance policies and procedures in response to changing regulations and industry trends.
- Work with management to implement any necessary changes as the organization grows.
- Create, manage and deliver compliance trainings including regulatory, AML, etc.
- Research regulations and communicate findings with the management team.
- Oversee advisor onboarding and compliance related data collection.
- Oversee advertising, presentations, social media and other forms of communication with the public.
- Conduct necessary risk and compliance testing including Rule 206(4)-7.
- Oversee, identify and document key processes, risks, and controls.
- All other duties as assigned.
Education Requirements:
- A Bachelor’s degree in Business, Finance or related discipline is preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. A minimum high school diploma or equivalent is required.
Basic Requirements:
- 10+ years’ experience in a compliance, audit, or internal control function area within a financial institution.
- Knowledge of the retail brokerage business, fee based advisory business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds.
- Knowledge of ERISA and related areas of compliance.
- Significant experience with SEC Rule 206(4)-7.
- Strong verbal and written communications skills required.
- Must be detail-oriented, investigative and can work independently.
- Self-starter and solutions oriented.
- Team oriented with strong interpersonal skills.
- Excellent organizational and proficient in MS Office.
Preferred Requirements:
- Prior experience with the Investment Advisers Act of 1940, Investment Company Act of 1940 and Securities Act of 1933 preferred.
- Experience with Independent Broker-Dealers a plus.
- Masters or JD degree a plus.
What We Offer
NFP is proud to offer a competitive salary, PTO & paid holidays, 401(k) with match, exclusive discount programs, health & wellness programs, and more. Our PeopleFirst culture focuses on building and nurturing lifelong relationships with our employees because, at the end of the day, we exist to be there for others.
The base salary range for this position in the state of California is $200,000.00 – $250,000.00. The base salary offered will be determined by factors including, but not limited to, experience, credentials, education, certifications, skill level required for the position, the scope of the position, and geographic location. Actual base salary offered will be determined on a case-by-case basis. In addition to the base salary, this position may be eligible for performance-based incentives.
NFP and You... Better together!
NFP is an inclusive Equal Employment Opportunity employer.