General Counsel (Scottsdale, AZ)

Trajan Wealth LLC is seeking a full-time General Counsel - Chief Compliance Officer to develop the company’s overall Legal & Compliance strategy.   This is a new position for an incoming General Counsel - Chief Compliance Officer who will be working with third party counsel as needed.

The General Counsel - Chief Compliance Officer will be responsible for compliance of the RIA book which account for over $300M.  The organization is growing at a rapid pace and is on track to produce over $150M this year alone.

Responsibilities:

·         Provide leadership, strategic direction and oversight of the Legal and Compliance function

·         Drive a culture of compliance throughout the business

·         Develop and implement organizational policies and procedures

·         Monitor and review activities of business and support organization to ensure compliance with internal policies and external laws and regulations.

·         Act as a primary interface with regulators on Compliance matters

·         Establish and maintain strong working relationships as needed

·         Identify, facilitate, and/or implement changes to policies and procedures in response to changes in laws and regulations effecting the financial services and insurance industry.

·         Monitor compliance issues to resolution including issue identification, resolution plan determination and final resolution

·         Review, amend, and approve any and all marketing mediums which include websites, radio and television advertisements, print and mailers

Requirements:

·         Juris Doctorate (JD) from an accredited law school

·         10+ years of experience practicing law in financial markets

·         Previous employment experience with SEC or FINRA; highly desired

·         Technical expertise in FINRA, SEC and state rules and regulations

·         Experience in auditing, legal and regulatory compliance

·         High level problem-solving skills are required; problems are technically complex and require the collection, interpretation, and analysis of data from diverse sources

·         Strong ability to quickly implement strategy and establish previously used systems

·         Strong business acumen, exceptional problem solving, decision making and analytical skills.

·         Ability to excel in a fast-paced growing organization

·         Excellent written and verbal communication skills

·         Excellent computer skills including Microsoft Office – Word, Excel and PowerPoint

·         Experience utilizing or ability to quickly learn - TD Ameritrade, Raymond James, Orion and Redtail          

Compensation Package:

·         Competitive salary - $200,000 to $300,000 depending on experience

·         401K

·         Relocation Assistance Available

·         Medical, Dental, Vision, Life Insurance and many other benefits available

If you are interested in Trajan Wealth’s opportunity and meet our qualifications, please submit your resume and compensation requirements to [email protected]