Hamilton Capital (Columbus, OH) Seeking Deputy Chief Compliance Officer
At Hamilton Capital, culture is the cornerstone of how we do business. We trust that an environment that encourages innovation, begins by ensuring employees are comfortable making decisions, taking risks, and being mistaken.
We are only as good as those we are fortunate enough to work with, which means each individual must have the resources, support, and training needed to succeed. It is through prioritizing and investing in our people that we have been able to build a rare and exceptional team; a team that helps clients build great financial legacies, so that they too may pursue their dreams and influence the people and organizations they love.
In return, we expect a lot out of our employees – but not in the way you might assume. We expect you to use your unique voice, talents, and experiences to master your craft. We expect that you will believe in our vision, serve others first, and commit to challenging yourself and those around you as we collectively strive for greatness.
Your work here will have profound meaning and impact, not just on our clients, but on our team, and because we take our commitment to you very seriously, we have faith that you will do the same for Hamilton Capital.
About the Position
Hamilton Capital is seeking a dynamic professional to add to our Compliance Team. The Deputy Chief Compliance Officer is the primary compliance partner to all company divisions including: Marketing, Advisory, Investment Management, and more. Responsible for managing the firm’s adherence to financial industry laws and regulations as well as best practices, the Deputy Chief Compliance Officer will be actively engaged across most company initiatives to provide compliance advice, monitoring and oversight, and must also possess the ability to act as department leader in the absence of the Chief Compliance Officer.
- Supportive, flexible, people-oriented culture and a professional yet family atmosphere
- Individual contribution and innovation encouraged and recognized
- Personal and career development opportunities
- Competitive compensation package commensurate with experience
- Excellent benefits, including a 401(k) Plan with employer contribution
- Individual and Team Incentive Plans
- Investment management and financial planning services
Primary Position Responsibilities
- Develops, implements, and manages all compliance-related policies and procedures
- Builds, manages, leads and develops a strong Compliance team
- Conducts periodic monitoring of significant compliance matters to confirm compliance with regulatory requirements and internal policies/procedures
- Oversight of firm’s compliance including but not limited to: GIPS standards, ERISA/Retirement Plans, Cyber Security, Privacy
- Provides oversight of updating compliance forms and employee reporting (Form ADV, U-4, notice filings, MCO/SCT, Compliance Alpha, FINRA/IARD, gift receipts, etc
- Manages the preparation and review of Form ADV
- Serves as cyber-security principal, conducts risk assessments and manages the compliance monitoring and testing program
- Reviews and approves marketing materials (website, social media, print)
- Provides expertise, guidance, and leadership on legal, regulatory, compliance and supervision rules and regulations
- Performs initial and ongoing compliance review and due diligence of fund managers, platforms and vendor partners
- Develops and leads employee training sessions including required Annual Compliance Training
- Coordinates with the CCO/General Counsel in various legal drafting and research responsibilities
- Bachelor’s degree required, JD preferred
- 8-10+ years of professional experience required, with knowledge/experience in securities law (specifically, Investment Advisers Act of 1940) and compliance, the financial industry, ERISA and/or legal field preferred
- Series 65 or equivalent securities license a plus
- Excellent problem-solving and decision-making skills
- Excellent oral and written communication skills
- Must be detail-oriented and able to manage multiple projects within tight deadlines
- Strong leadership, team building and interpersonal skills
- Highly proficient in Microsoft Office programs, with the ability to learn and fully utilize industry-specific software including reporting functionality
- Strict ethical, legal adherence and confidentiality at all times
- Contract law, labor law, privacy law, estate and trust
Go to this website to apply: https://hamiltoncapital.