Chief Compliance Officer Job Description

About Root

As one of the fastest-growing RIAs in the country, Root Financial's mission is to help as many people as possible get the most out of life with their money. Our human-first approach to financial planning guides clients toward their most cherished financial goals and we've assembled a world-class team of exceptional advisors and operations professionals committed to achieving this mission.

Position Overview

The CCO is a critical role within our organization, responsible for developing, implementing, and maintaining a comprehensive compliance program that meets all regulatory requirements. The CCO will serve as a key advisor on all compliance-related matters.

Key Responsibilities

Develop, implement, and maintain the firm's compliance program, ensuring adherence to all applicable federal and state securities laws and regulations.
Conduct regular compliance reviews and audits to identify and mitigate potential risks.
Oversee the firm's compliance policies and procedures, ensuring they are up-to-date
and effective.
Provide compliance training to employees on relevant regulations and industry best
practices.
Serve as the primary contact with regulatory agencies.
Manage and oversee the firm's compliance record keeping requirements.
Stay abreast of regulatory changes and industry trends, proactively updating the compliance program as needed.
Provide guidance and advice to firm personnel on compliance-related matters.
Oversee and manage any compliance-related vendors or consultants.
Develop and maintain a strong compliance culture within the organization.

Qualifications

Bachelor's degree in business, finance, law, or a related field.
Minimum of 5 years of experience in a compliance role within an RIA.
Strong knowledge of investment adviser regulations.
Experience in developing and implementing compliance programs.
Excellent communication, interpersonal, and presentation skills.
Strong analytical and problem-solving abilities.
Ability to work independently and as part of a team.

Benefits we offer.

Unlimited PTO
Medical, Dental, Vision, and Disability insurance
5% 401(k) Match
Paid maternity leave
Paid paternity leave

Compensation for the role:

Competitive pay: Base starts at $180,000 - $200,000 + Bonus Incentives

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