Senior Compliance Officer
We’re growing and adding a new role to our Enterprise Compliance and Risk Team. The Sr. Compliance Officer will oversee the Registered Investment Advisor Compliance Program. This individual will be responsible for internal compliance review timelines, work with business teams to improve and streamline business processes while maintaining compliance with regulatory requirements. They must be able to operate effectively and efficiently without close supervision and, when needed, lead teams that may include members of all functional areas of the company.
- Manage and oversee all aspects of a SEC RIA compliance program, including monthly, quarterly and annual regulatory requirements
- Review and implement improvements of the current processes and procedures
- Partner with the Head of investor Operations to ensure all regulatory requirements are accurately conducted and reported
- Manage the 3rd party compliance consulting relationship
- Create policies procedures and programs for the RIA business
- Lead internal reviews and draft reports containing recommendations and findings as needed
- Partner with lines of business and development teams in creation of new funds
- Oversee production of reporting to investors
- Summarize and report regularly on key activity within the program and escalate gaps and concerns to the Head of Compliance and Risk
- Coordinate activity and interact with regulators and other third party auditors in collaboration with the Head of Compliance and Risk and Sr. Leaders
- Advise on compliance with laws and regulations for applicable programs, including consulting on the design and implementation of key performance indicators, key risk indicators and business changes to provide tactical regulatory/compliance and ensure consistent framework, standards and risk tolerances are followed in accordance with Enterprise Compliance and Risk expectations
- Proactively identify and communicate deficiencies or gaps with regulatory compliance; provide guidance in the development of alternative solutions or implementation of corrective action
- Track and understand the changing regulatory environment to ensure policies, procedures and key stakeholders are kept current
- Collaborate with the Legal Department to assess applicability and risk level of new/updated laws, rules and regulations.
- Participate in Enterprise initiatives and projects, demonstrate agility to shift priorities as needed
- 7-10 experience required. Prior work in RIA focused financial services required.
- Strong research, organizational, problem-solving and analytical skills; able to manage multiple and sometimes conflicting priorities and workflow. Attention to detail a must.
- Excellent verbal and written communication skills.
- Familiarity with GRC applications, Microsoft Office, and other software
- Commitment to excellence and high standards and ability to work independently and as a member of various teams and committees.
- Strong interpersonal skills.
- Ability to understand and follow written and verbal instructions
- Good judgment with the ability to make timely and sound decisions
- Bachelor’s Degree
- Demonstrated ability to communicate and present topics clearly to diverse audiences
- Prior experience interacting with external regulators and third party audit providers
- Ability to prioritize and be agile in a fast moving, complex environment
CULTURAL FIT (Our Core Values):
- Care (for everyone): We show compassion and contribute to the well-being and growth of those around us. We only pursue products that improve the financial lives of our clients.
- Act with Integrity (every time): We take the right action even when it is hard and even when no one is watching. We treat our employees, clients, and communities the way they wish to be treated.
- Get Better (every day): We innovate, iterate, and improve each day. We are creative, take thoughtful risks, and ultimately learn and recover from failures.
- Collaborate (with everybody): We strive to work together toward a common purpose by proactively sharing information and inviting participation. We recognize the perspective of various groups and embrace healthy, constructive debate.
WHY JOIN THE FREEDOM FAMILY?
- Fast, continued growth – there’s a lot of opportunity for advancement
- Voted a Phoenix Best Place to Work 9 times by our employees including the #1 spot for 2 years in a row!
- Benefits start within 30 days
- 401k with employer match
- 3 weeks' paid vacation (increased with tenure)
- 9 paid holidays & 5 sick days
- Paid time off for volunteer work and on your birthday
WHO WE ARE:
Freedom Financial Network is a family of companies that takes a people-first approach to financial services, using technology to empower consumers to overcome debt and create a brighter financial future. The company was founded in 2002 by Brad Stroh and Andrew Housser on the belief that by staying committed to helping people, you can ensure better financial outcomes for both the customer and the business. This Heart + $ philosophy still guides the vision of our growing company, which has helped millions of people find solutions for their financial needs.
What began with 2 people in a spare bedroom has now rapidly expanded to a vibrant business that employs over 2,200 employees (known internally as The Freedom Family) in two locations: San Mateo, CA and Tempe, AZ. When you visit either of our offices, you’ll understand why our employees have voted us the Best Place to Work for the last several years. It’s a place where the Heart + $ philosophy continues to thrive, where we believe that success is only achieved by doing what’s right for our customers, our employees, and our communities.
In order to create brighter futures for our clients, employees, and businesses, Freedom Financial Network holds itself to four core values that have grown out of our Heart + $ philosophy: to care for everyone around us, act with integrity every time, collaborate with everybody we work with, and get better at what we do every day.
Attention Agencies & Search Firms: We do not accept unsolicited candidate resumes or profiles. Please do not reach out to anyone within Freedom Financial Network (FFN) to market your services or candidates. All inquiries should be directed to Talent Acquisition only. We reserve the right to hire any candidates sent unsolicited and will not pay any fees without a contract signed by FFN’s Talent Acquisition leader.