Director of Risk and Compliance

Valeo Financial Advisors is one of the largest RIA firms in the Midwest, with over $9B in assets under management, and is rapidly growing and expanding. We provide comprehensive, independent financial advice to our clients with one simple transparent fee. Based in central Indiana, we are committed to empowering the next generation and revolutionizing the financial services industry. Valeo provides competitive benefits including unlimited PTO, 401(k) with company match, and health coverage.

Position Overview

Reporting to the CCO, this individual will be responsible for managing all aspects of risk to the organization, its employees, clients, reputation, assets, and interests of stakeholders. Specific risk areas include firm governance, information security, regulatory compliance, insurance, and operational risk.

The ideal candidate has or is working towards the IACCP designation, and direct experience working in and with a compliance program at an SEC Registered Investment Advisor. Should have immediate working knowledge of Forms CRS and ADV, U4 and 5, Advisory Agreements, the Custody rule, and Reg S-ID. Direct experience with 13F filings, trade reconciliation and reviews, and SEC exams is greatly desired.

This position requires in-person office attendance and is based in our Carmel, Indiana headquarters.

Duties And Responsibilities

• Maintain and update as necessary the firm’s compliance policies and procedures, internally and externally for the general operation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct.
• Maintain all regulatory required filings and registrations - initial, amendments, renewals, and disclosure documents.
• Respond to requests for information regarding Valeo, its employees or its clients by regulatory bodies.
• Respond to alleged violations of rules, regulations, policies, procedures, and Code of Ethics by evaluating or recommending the initiation of investigative procedures. Develops and oversees a system for uniform handling of such violations.
• Collaborate with other departments to monitor, and as necessary, coordinate compliance activities to remain aware of all compliance activities and to identify trends.
• Manages any required investigation, reporting, and resolution of potential compliance concerns and communicates with various legal and regulatory bodies to understand current and new rulings affecting the firm and its operations.
• Identify potential areas of compliance vulnerability and risk; develops/implements corrective action plans for resolution of problematic issues and provides general guidance on how to avoid or deal with similar situations in the future.
• Participate in strategic planning in conjunction with firm leadership to promote a culture of compliance and risk mitigation.
• Coordinates all communication regarding compliance policies, Code of Ethics, or related procedures to employees.
• Perform other duties as assigned.
  
  

Desired Qualifications

• Bachelor’s degree or higher from an accredited college or university.
• 5 years’ experience working in compliance within the financial services industry; direct experience with fund creation, monitoring, and management a plus.
• Strong understanding and knowledge of industry best practices and regulatory expectations for overall compliance and risk management of a financial services firm
• Excellent organizational, communication, analytical and problem-solving skills
• Strategic thinker who can take initiative and work independently.
• Ability to work in a fast-paced environment and champion an entrepreneurial spirit.
• Highly proficient with all Microsoft Office and Adobe products.
  
  

Valeo is an Equal Opportunity Employer. Valeo does not discriminate on the basis of race, religion, color, sex, gender identity, sexual orientation, age, non-disqualifying physical or mental disability, national origin, veteran status or any other basis covered by appropriate law. All employment decisions are based on qualifications, merit, and business need.