The RSM US Wealth Management (WM) Chief Compliance Officer (CCO) has responsibility for all aspects of the compliance functions for WM, an SEC-registered investment adviser. The WM CCO develops, implements and maintains policies and procedures intended to minimize the risk of WM violating legal, regulatory or firm requirements. The WM CCO monitors entity and employee compliance with established policies and procedures and ensures the timely resolution of any identified deficiencies. The WM CCO also manages any WM-related litigation. In addition, the WM CCO leads one or more special projects focused on achieving WM strategic business goals (e.g., the development and roll-out of a new WM service capability).
- Lead the development, implementation and maintenance of policies and procedures in alignment with legal, regulatory and firm requirements.
- Assess new rules and incorporate into compliance policies, procedures, training and monitoring programs.
- Review and approve WM vendors and marketing materials.
- Ensure entity regulatory deadlines are met and wealth advisors complete required compliance responsibilities.
- Conduct the SEC-required annual compliance practice line review.
- Evaluate, enhance and oversee compliance training for WM employees. Lead responses to periodic, recurring SEC audits.
- Manage the branch office inspection process and develop inspection schedules and forms.
- Conduct branch office reviews of wealth advisor teams to ensure compliance with legal, regulatory and firm rules.
- Critically review branch office books and records and manage the inspection interview process to identify potential issues and areas for improvement.
- Coach wealth advisors and performance advisors to promptly address any deficiencies noted during inspections.
- Track identified inspection deficiencies to ensure all identified items are timely and appropriately addressed.
- Oversee the review of national WM employee and wealth advisor email communications for policy violations and the tracking of personal investment transactions for all employees with internal access to trading information.
- Review wealth advisor portfolio implementation to ensure alignment with WM policies.
- Ensure timely and appropriate resolution of all identified issues.
- Manage national WM compliance department employees and any outside consultants performing compliance activities for WM.
- Lead strategic analysis and implementation with respect to one or more special projects focused on meeting WM strategic business objectives.
- Responsibilities can include service offering design, vendor selection and management, due diligence, contract negotiation, and roll-out and tracking within the WM practice office
- Other duties as assigned.
- Bachelor's degree; securities industry licenses and registrations - Series 4, 7, 24, 4, 53, 66; professional designation in compliance area (CRCP, CFP)
- J.D. or equivalent; insurance license preferred
- 6 to 10 years experience leading the compliance function for a broker-dealer or registered investment adviser
- Senior-level, supervisory experience preferred
- Project management skills, due diligence skills
- Ability to collaborate and influence at all levels of the organization, change management, and problem solving.
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RSM is an equal opportunity/affirmative action employer. Minorities/Females/Disabled/Veterans.