Chief Compliance Officer Job Description About Root As one of the fastest-growing RIAs in the country, Root Financial's mission is to help as many people as possible get the most out of life with their money. Our human-first approach to financial planning guides clients toward their most cherished financial goals and we've assembled a world-class team of exceptional advisors and operations professionals committed to achieving this mission. Position Overview The CCO is a critical role within our organization, responsible for developing, implementing, and maintaining a comprehensive compliance program that meets all regulatory requirements. The CCO will serve as a key advisor on all compliance-related matters. Key Responsibilities Develop, implement, and maintain the firm's compliance program, ensuring adherence to all applicable federal and state securities laws and regulations. Conduct regular compliance reviews and audits to identify and mitigate potential risks. Oversee the firm's compliance policies and procedures, ensuring they are up-to-date and effective. Provide compliance training to employees on relevant regulations and industry best practices. Serve as the primary contact with regulatory agencies. Manage and oversee the firm's compliance record keeping requirements. Stay abreast of regulatory changes and industry trends, proactively updating the compliance program as needed. Provide guidance and advice to firm personnel on compliance-related matters. Oversee and manage any compliance-related vendors or consultants. Develop and maintain a strong compliance culture within the organization. Qualifications Bachelor's degree in business, finance, law, or a related field. Minimum of 5 years of experience in a compliance role within an RIA. Strong knowledge of investment adviser regulations. Experience in developing and implementing compliance programs. Excellent communication, interpersonal, and presentation skills. Strong analytical and problem-solving abilities. Ability to work independently and as part of a team. Benefits we offer Unlimited PTO Medical, Dental, Vision, and Disability insurance 5% 401(k) Match Paid maternity leave Paid paternity leave Compensation for the role Competitive pay: Base starts at $180,000 - $200,000 + Bonus Incentives #J-18808-Ljbffr Root Financial Partners
Locations:VA - McLean, United States of America, McLean, VirginiaUI/UX Designer - Principal AssociateWe are currently seeking a UX Designer to join our team. We are passionate about advocating for user needs and delivering world-class products that redefine our customers...
Position Overview Aveanna Healthcare is a leading provider of pediatric and adult care services, specializing in home healthcare. Our mission is to enhance the lives of our patients and their families by delivering compassionate and personalized care in the comfort ...
...its members. About this role UHSM is seeking a Senior Salesforce Developer ready to bring new solutions and ideas to use Salesforce and... ...of this role may be changed as directed by the Company at any time to promote and support our business needs. All qualified applicants...
...Description Offering over 20 years of experience, Onix Hospitality currently owns and manages eight award-winning, top-performing hotels in the Mid-Atlantic region and Florida, operating over 1,000 hotel rooms across its growing portfolio and serving more than half...
...Description Summary The Multi-Specialty Clinic at Rutledge Tower is located in downtown... ...Cost Center CC004970 CHS - Infusion Non-Chemo (RT) Pay Rate Type Hourly Pay... ...Description Job Summary/Description: The RN Infusion provides infusion therapy to...