Chief Compliance Officer - $196k-$275K base salary plus bonus

About Trajan Wealth

With over $3 billion in assets under management and advisement, Trajan® Wealth is one of the fastest-growing Registered Investment Advisor firms in the country.

What sets us apart is our fully integrated, in-house model - combining fee-only wealth management, estate planning through Trajan Estate, and tax strategy through Trajan Tax.

We don't refer out critical components of a client's financial life. We bring them together under one fiduciary standard - the Family Office.

Role Overview

Seeking a full-time Chief Compliance Officer to oversee the Firm's Compliance department.

Duties and responsibilities

• Provide leadership, strategic direction and oversight of the Compliance function
• Drive a culture of compliance throughout the business
• Develop and implement organizational policies and procedures
• Monitor and review activities of business and support organization to ensure compliance with internal policies and external laws and regulations.
• Act as a primary interface with regulators on Compliance matters
• Establish and maintain strong working relationships as needed
• Identify, facilitate, and/or implement changes to policies and procedures in response to changes in laws and regulations effecting the financial services and insurance industry.
• Monitor compliance issues to resolution including issue identification, resolution plan determination and final resolution
• Review, amend, and approve any and all marketing mediums which include websites, radio and television advertisements, print and mailers

Qualifications

• Bachelor's degree required in finance or related field.
• 12+ years of experience with regulatory compliance authority in financial markets and or regulatory experience required, including experience in auditing, former SEC, legal and regulatory compliance. Knowledge of registered products a plus.
• 5+ years of leadership experience
• High level problem-solving skills are required; problems are technically complex and require the collection, interpretation, and analysis of data from diverse sources
• Strong ability to quickly implement strategy and establish previously used systems
• Strong business acumen. Exceptional problem solving, decision making and analytical skills.
• Ability to excel in a fast-paced organization
• Excellent written and verbal communication skills
• Excellent computer skills including Microsoft Office - Word, Excel and PowerPoint
• Experience utilizing or ability to quickly learn – Schwab and Axos Custodian software.

Benefits

• $196,000 to $275,000 base salary DOE plus bonus
• 401(k) with a matching contribution up to 13%.
• United Healthcare PPO medical coverage for employees, paid by the company.
• Delta Dental PPO, United Healthcare Vision, Short Term Disability, Long Term Disability, Life Insurance, and many more voluntary options.
• Generous holidays and PTO.
• Future career growth opportunity.

Come and join a team that is making a difference in their clients and employee's lives!