What are the responsibilities and job description for the Compliance Officer position at Capital Advisors, Inc.?
We endeavor to make a positive difference in people's lives by helping them achieve meaningful lifetime goals through investment management. We inspire peace of mind through a transparent and repeatable investment process and frequent communication. Founded in 1978, Capital Advisors provides wealth management and financial planning services to individuals and institutions. Our company is an employee-owned SEC Registered Investment Advisor with over $6 Billion in assets under management.
Transparency Collaboration Integrity Commitment Initiative Innovation
Compliance Officer Position and Company Highlights :
Salary : based on experience plus annual bonus program
Location : Frisco, TX in office
Schedule 8 : 00 AM - 4 : 30 PM Monday - Thursday, 8 : 00 AM - 3 : 15 PM Friday
Benefits : Up to 6 weeks PTO, 90% employer paid medical insurance, 401k match 100% vested available first day, ESOP available first day, employer paid 2x annual salary life insurance
Purpose of Compliance Officer :
The Compliance Officer is an integral piece in the implementation and oversight of the Firm's compliance program including education, training, and oversight. The Compliance Officer acts as a liaison with vendors, business partners, and employees on compliance-related issues.
Principal Accountabilities of the Compliance Officer :
- Collaborate with CCO on review and execution of the Compliance Program throughout the organization
- Coordinate education initiatives on matters of compliance and risk management
- Assist CCO in Compliance obligations regarding publicly traded Mutual Fund
- Responsible for new employee compliance education and onboarding
- Be an expert on Compliance Software (Orion Compliance)
- Independently carry out daily Compliance tasks to comply with regulatory requirements
- Carry out remote office inspections; requires limited travel
Building and Maintaining an Exemplary Professional Reputation :
Requirements for the Compliance Officer :
Dimensions of Position of the Compliance Officer :
The Compliance Officer is part of the Compliance Team and therefore, responsible for the Firm's compliance and risk management programs. The person in this position must be willing to collaborate seamlessly with numerous people with different roles within Capital Advisors. Attention to detail and clear communication skills are required. The highest level of integrity is expected at all times.
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