Chief Compliance Officer

The Chief Compliance Officer is ultimately responsible for all aspects of the Firm’s compliance program and the supervisory system implementing such program. In addition, the Chief Compliance Officer will assess the effectiveness of the Firm’s compliance program and revise the program as necessary. The Compliance Manual sets forth responsibilities that rest with the Chief Compliance Officer such as:

-Respond to any questions about the Firm’s (including its personnel’s) responsibilities;

-Consult with the Firm’s additional tools and resources including the Compliance Consultant and the Securities Counsel;

-Coordinate any request for consent to disclose or to otherwise share or disseminate the Compliance Manual to parties other than Firm personnel and their attorneys;

-Ensure the Compliance Manual is current and accurate at all times and for distributing the Compliance Manual and any amendments to Firm personnel;

-Act as Chair of the Firm’s Compliance Committee;

-Approve the initial and continued use of Independent Managers by the Firm;

-Arrange compliance training for Firm personnel and conduct periodic compliance meetings for the Firm and its personnel;

-Coordinate Compliance Audits

-Conduct a periodic review of the Firm’s supervisory structure, policies and procedures, and review processes, and implement new policies and procedures where necessary;

-Periodically consult with the Compliance Consultant and Securities Counsel regarding compliance matters including, but not limited to, proposed or final amendments to the Rules, proposed new or revised compliance or supervisory policies and procedures, disciplinary actions involving Firm personnel under consideration, regulatory developments, and industry best practices.

-Prepare a written report to the Compliance Committee no less than annually on compliance matters;

-Take appropriate remedial actions to address any violations of the Rules or the Compliance Manual;

-Manage regulatory inspections by Regulators;

-Develop and update Client Agreements;

-Ensure that the Firm or its investment adviser representatives do not enter into any transactions prohibited by ERISA or the Code;

-Handle any client complaints;

-Establish, implement, and supervise guidelines and standards for advertising, marketing, and sales materials;

-Ensure that Firm communications to clients and the general public are not fraudulent or misleading;

-Monitor whether and to what extent the Firm utilizes Solicitors, and supervise the Firm’s use of any such Solicitors;

-Maintain the Firm’s registration as an investment adviser;

-Keep Form ADV, in its entirety, accurate and current as well as make timely regulatory filings;

-Ensure timely delivery of the Firm’s disclosure documents including, but not limited to, those required by the Form ADV such as the disclosure brochure and brochure supplements, if required.

-Make all necessary filings required by the Securities Exchange Act of 1934, if any;

-Monitor the activities of Unregistered Personnel;

-Determine whether Firm personnel’s activities trigger any registration or licensing requirements, and coordinate procedures for registration, licensing, and qualification of such personnel;

-Work with the Chief Investment Officer to ensure that the Firm’s securities orders and transaction review processes are properly documented;

-Monitor Firm personnel for unauthorized use of a designation; and

-Approve and monitor the outside business activities of all Firm personnel.

Qualifications

10 years' experience in the field of compliance supervision with an RIA is required.

1. B.A. or B.S. degree, preferably in Financial Planning, Finance, Accounting, or Economics

2. Strong analytical skills, Excellent written and verbal communication skills

3. Self-starter, productive, works well with a team and independently

4. Ability to identify, meet, and follow through with client needs and requirements with extraordinary attention to detail.

5. Excellent project management skills with ability to prioritize and track multiple tasks

6. Proficiency in Microsoft Office Suite, Excel specifically.

7. Knowledge of Portfolio Accounting software (Advyzon ), RiskAlyze, Smart RIA, Kwanti and FI 360 Fiduciary Software.