Gries Financial Partners (Cleveland, OH or Remote) Seeking Chief Compliance Officer (CCO)

Gries Financial Partners (GFP) Seeking Chief Compliance Officer (CCO)

GFP is an independent, fee-only RIA founded in 1978.  We are headquartered in Cleveland, OH with AUM/AUA of approximately $1.5 billion.  We currently have outsourced the CCO role and would like to bring this function in-house. This can be a remote (with quarterly visits to Cleveland office) or hybrid position for the right candidate.  If you or anyone you know is interested, please reach out to hemal@gries.com.

Main Responsibilities:

  • Review, enhance and maintain firm’s compliance program and keep up with regulatory changes
  • Manage SEC and other regulatory examinations
  • Regulatory filings including updating ADV/U4
  • Compliance training
  • Reviewing and testing firm’s policies and procedures
  • Review / approve marketing materials

Requirements:

  • Prior relevant experience working for a similar-sized RIA in a CCO or senior compliance role
  • Experience overseeing SEC and other regulatory exams
  • Experience with all regulatory filings with IARD system knowledge
  • Ability to be a one-person compliance team (with support from outside compliance consultant and legal counsel)
  • Ability to take a balanced view on compliance matters, balancing compliance as well as business requirements
  • Industry certification (or 5+ years of experience as a CCO at a similar RIA)
  • Clean BrokerCheck / background check report

Salary and Benefits:

  • Competitive compensation package, based on experience
  • Medical insurance, including dental and vision plan
  • 401(k) plan with company match
  • Paid time off

APPLY NOW: Send your resume, reason for looking for a new role and US citizenship status to hemal@gries.com