What are the responsibilities and job description for the Chief compliance officeR position at Corvus Wealth Advisors?
Please read the information in this job post thoroughly to understand exactly what is expected of potential candidates.
Join Our team
We are always on the lookout for enthusiastic, committed, and detail-oriented individuals to contribute to our formula for success. Our priority is putting our clients’ needs first and if you’re someone who has superior client service skills and a great work ethic, we want to hear from you.
As an established firm, we’re continuously growing our financial advisory business to offer the tools, resources, and motivation necessary to help our clients, and one another, build a great future.
Minimum Requirements for All Positions :
- Ethical
- Positive and constructive
- Service focused
- Team player
- Excellent communicator
- Diligent
- Self Starter
- Tech-savvy
- Value work-life balance
- Committed to continuous learning
Compensation, Logistics and Perks
Chief Compliance Officer
A Chief Compliance Officer (CCO) is responsible for developing and implementing compliance policies and procedures for the firm to ensure we remain compliant with SEC and FINRA regulations. Additionally, a CCO will conduct regular compliance training for employees, stay up-to-date with regulatory changes, review marketing materials for compliance, investigate and resolve compliance issues, and serve as the point of contact for regulatory agencies.
A Chief Compliance Officer Focuses On :
Requirements for a Chief Compliance Officer :
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