General Counsel and CCO

At Credent Wealth Management, a $1 billion assets under advisement firm, our carefully refined approach to working with clients is the result of years of expertise to provide each client with exceptional service and a comfortable and productive experience. Meticulous attention to detail and high-touch service distinguishes Credent Wealth Management among firms offering financial management services. Our business is built on four pillars: honesty, integrity, communication, and education.

Our mission is to guide clients throughout life’s most important financial events with service and expertise above and beyond client expectations. We believe that financial freedom changes lives; that all people benefit from setting financial goals, developing a written plan, and working with a partner to achieve those goals.

Role Overview:

The Chief Compliance Officer will be responsible for the entirety of compliance regulations, processes, programs, enhancements, and practices of the company and other agents/entities of the organization, including working with custodial partnerships to ensure all employees and entities are registered appropriately. You will assist in the development, testing, and training of SEC/FINRA and custodial processes and procedures of all employees. This role will also provide support within the Executive, Investment Policy, and Exception committees.

The work schedule for all offices is Monday - Friday, 8 AM - 5 PM, but this role may assist with projects and business compliance across Eastern and Central time zones. The team is looking for a person with a high regard for securities and law compliance expertise, an understanding of SEC/FINRA regulations, and internally detailed-oriented in their approach of accomplishing goals.

Responsibilities:

Maintains and enhances a risk-based organizational-wide compliance program designed to ensure the CX Institutional organization is compliant with all relevant laws, regulations, and rules governing its operations, products, and services offered

Oversees the compliance staff throughout their roles of researching applicable federal and state laws, regulations, reviewing the organization’s policies and procedures, testing, monitoring, and remediation plans

Maintain and oversee compliance risk assessments, SEC and custodial audits, policies, procedures, and guidelines governing the Compliance Department and all locations

Oversees implementation of the annual risk-based Compliance Testing and Monitoring Plan, testing compliance with the law, regulation and policy, and participating in training employees to ensure the company’s compliance with laws and regulations

Overseeing maintaining and enhancing a culture of compliance throughout the company, including by participating in educations efforts of the three lines of defense, the role of the second line of defense and other matters, including new compliance obligations and timely compliance topics

Strengthens the overall compliance program to meet enhanced expectations of the SEC, FINRA, custodial vendors, and outside counsel

Provides management and the board with appropriate information to accurately determine the extent of compliance.

Remain knowledgeable in the policies and regulations of the regulatory bodies to ensure compliance with all work activities

Work with all other team members in a way that is conducive with the mission, values, and beliefs of the company to provide customer service beyond expectations

Comply with company-wide policies and SEC/FINRA regulations

Education & KSAs

Bachelor's Degree in related field; MBA or JD with Business and/or Securities coursework preferred

5+ year in Financial Compliance (SEC/FINRA) preferred

Series 24 preferred

High degree of Financial Industry (SEC/FINRA) compliance regulations, laws, and practices

Progressive analytical knowledge, relationship-building, and interpersonal skills

Excellent verbal, written, and presentation communication skills

Self-driven, independent, adaptable, detail-orientated, and creative problem-solving

Highly detailed, accurate, organized, and able to think to beyond the current process

Benefits

Group Health Insurance (90% EE & 50% Family premiums covered)

Voluntary Dental & Vision Coverage (EE & Family)

Flexible Spending Account (FSA)

Employer-paid S/LTD Disability & $50k Life Insurance

100% company-matched and vested Roth & Traditional 401k

Company paid holidays & closed-market dates

3.5 weeks (18 days) Paid Time Off Annually

Bereavement Leave

Fitness Membership/Reimbursement

Quarterly Team Bonus Eligible

License(s)/Certification(s) Assistance

Job Type: Full-time

Experience:

Financial Planning or Wealth Management Industry: 1 year (Preferred)

Financial Compliance (SEC/FINRA): 5 years (Preferred)

Education:

Bachelor's (Required)

License:

Series 24 (Preferred)

Work authorization:

United States (Required)

Required travel:

25% (Preferred)

Application Question:

Do you have more securities-based or business law-based legal training?

Additional Compensation:

Bonuses

Other forms

Work Location:

One location

Benefits:

Health insurance

Dental insurance

Vision insurance

Retirement plan

Paid time off

Professional development assistance

This Company Describes Its Culture as:

Outcome-oriented -- results-focused with strong performance culture

Team-oriented -- cooperative and collaborative

Detail-oriented -- quality and precision-focused