What are the responsibilities and job description for the Chief Compliance Officer position at Root Financial Partners?
Chief Compliance Officer Job Description
About Root
As one of the fastest-growing RIAs in the country, Root Financial's mission is to help as many people as possible get the most out of life with their money. Our human-first approach to financial planning guides clients toward their most cherished financial goals and we've assembled a world-class team of exceptional advisors and operations professionals committed to achieving this mission.
Position Overview
The CCO is a critical role within our organization, responsible for developing, implementing, and maintaining a comprehensive compliance program that meets all regulatory requirements. The CCO will serve as a key advisor on all compliance-related matters.
Key Responsibilities
- Develop, implement, and maintain the firm's compliance program, ensuring adherence to all applicable federal and state securities laws and regulations.
- Conduct regular compliance reviews and audits to identify and mitigate potential risks.
- Oversee the firm's compliance policies and procedures, ensuring they are up-to-date and effective.
- Provide compliance training to employees on relevant regulations and industry best practices.
- Serve as the primary contact with regulatory agencies.
- Manage and oversee the firm's compliance record keeping requirements.
- Stay abreast of regulatory changes and industry trends, proactively updating the compliance program as needed.
- Provide guidance and advice to firm personnel on compliance-related matters.
- Oversee and manage any compliance-related vendors or consultants.
- Develop and maintain a strong compliance culture within the organization.
Qualifications
Benefits we offer
Compensation for the role
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Salary : $180,000 - $200,000
