Homrich Berg (Atlanta, GA) seeking Compliance Officer

Position: Compliance Officer
Availability: Immediate

Homrich Berg (“HB”) is a leading fee-only financial planning and investment advisory firm located in Atlanta, GA. Established in 1989, HB’s employees provide comprehensive financial planning and investment management services primarily to high net worth individuals.

Description of Position

HB seeks a Compliance Officer (“CO”) to become a member of our team. As the CO, you will contribute to the oversight and administration of HB’s Compliance Program. This position reports directly to the Chief Compliance Officer (“CCO”). Areas of coverage will include investments, operations, marketing, client service, employee training, and finance.

The CO duties will include, but are not limited to:
• Execution of compliance monitoring and testing programs including:
o Perform scheduled internal audits, forensic tests, and other supervisory oversight
o Conduct branch office reviews (includes travel to branch offices)
o Monitor portfolio management activities and conduct suitability analysis
o Monitor employee personal securities transactions and other required employee reporting
o Approval of marketing and advertising (includes web, print, and social media)
• Stay abreast of regulatory rule changes, which may include attending conferences, training sessions, or other seminars/webinars
• Assist with training of HB’s policies and Investment Adviser regulation
• Active support and contribution to the Committees of HB including Risk, Compliance, Investment, and Marketing
• Must be capable of independently planning and performing strategic, operational, reporting, and compliance audit and employee onboarding
• Provide support to CCO relating to oversight of third-party service providers and counterparties
• Provide support to the CCO in administration of compliance projects
• Perform other tasks as assigned or requested

Qualifications
• Bachelor’s degree required; business related field preferred
• Minimum 5 years in a compliance or operations role with an investment related firm.
• Excellent written and verbal communication skills
• Must be able to work independently as well as collaboratively within a team

Please apply through our website: www.homrichberg.com

Equal Opportunity Employer M/F/D/V