SALT, a Denver-based FinTech company, is seeking a seasoned professional with a regulatory compliance background, particularly in the Investment Advisers Act of 1940, Investment Company Act of 1940 and FINRA rules to join our investment adviser practice in an effort to help our fast-paced company grow. The Chief Compliance Officer of Salt’s broker dealer and registered investment advisor subsidiaries is required to stay abreast of current issues in the regulatory environment and changes in securities law so as to advise senior management. Responsibilities include overseeing the implementation and enforcement of a comprehensive compliance program designed to ensure compliance with all regulatory requirements that apply.
Experience and Skills
- Bachelor’s Degree
- 10 to 15 years investment adviser and/or broker-dealer compliance experience.
- Experience in developing, implementing and enforcing a compliance program to ensure compliance with SEC, FINRA, MSRB, state laws and regulations.
- Successful completion of Series 7, 66 24 & 27.
- Excellent written and verbal communication interpersonal skills.
- Demonstrated initiative and ability to work independently.
- Strong problem-solving, decision-making and analytical skills.
- Strong attention to detail and organizational skills.
- Provide management, leadership, strategic direction and oversight to the Compliance Department.
- Promote and support a culture of risk management and compliance throughout all of Salt, including:
- Planning, advising and overseeing the compliance program; including risk assessment monitoring and an audit program (including verifying that internal controls are designed and effective to achieve compliance with prevailing rules and regulations and maintenance of documentation to support the completion of the review and the corrective measures taken).
- Overseeing the development, documentation, and dissemination of written supervisory procedures and compliance controls with applicable rules and regulations.
- Establishing adequate controls to provide early detections and prevention of potential compliance issues. Implementing policies and procedures to correct any identified compliance issues.
- Working with business management to develop, communicate and implement strategies, procedures and technology systems designed to enhance compliance with applicable rules and regulations.
- Working knowledge of regulatory issues and changes in the securities laws through the regular review of appropriate publications to determine the impact on the business and its processes and procedures.
- Preparing and maintaining the books and records of a registered investment adviser and broker dealer.
- Serve as Salt’s point of contact with securities regulatory agencies (e.g., SEC, FINRA, MSRB and state securities administrators). Coordinate the research, response and submission of information requested by regulatory agencies.
- Perform other duties and responsibilities as assigned, including management of compliance consultants.
- Consult, prepare and file investment adviser and broker-dealer applications with the Securities and Exchange Commission (SEC), FINRA and states.
Job Type: Full-time position and ideal candidate currently resides in the Great Denver Area or willing to relocate. Please note this on your application or cover letter if applying from out of state.