RFG Advisory (Birmingham, AL) Seeking Chief Compliance Officer

Chief Compliance Officer

SEC registered RIA seeking a chief compliance officer

RFG Advisory is seeking an energetic, diligent and innovative individual to join our team! This role will be both challenging and rewarding requiring a diverse skill set and a resourceful attitude. You will have the opportunity to serve as an essential member of our leadership team and contribute to the success of RFG at the highest level.

In this role, you will oversee all facets of the RIA’s compliance. Responsibilities include developing and maintaining policies and procedures and the overall design/maintenance of the compliance program. The CCO will be responsible for reporting compliance with regulatory requirements, and maintenance of firm policies and supervisory procedures. The CCO will guide the firm through new regulations and expanded business initiatives.

Our corporate headquarters are in Birmingham, AL but this position could be in our corporate office in Saint Louis, MO (Creve Coeur).

Requirements:

  • Licensing: Series 66 or 65; 7; 24 or 9/10 and 63
  • Bachelor’s degree required; JD preferred

Please follow the link for more information: https://rfg-advisory.breezy.hr/p/4ac20f5a89f0