Corvus Wealth Advisors
Chief compliance officeR
Corvus Wealth Advisors, San Luis Obispo, California, us, 93403
Join Our teamWe are always on the lookout for enthusiastic, committed, and detail-oriented individuals to contribute to our formula for success. Our priority is putting our clients’ needs first and if you’re someone who has superior client service skills and a great work ethic, we want to hear from you.
As an established firm, we’re continuously growing our financial advisory business to offer the tools, resources, and motivation necessary to help our clients, and one another, build a great future.
Minimum Requirements for All Positions:
Ethical
Positive and constructive
Service focused
Team player
Excellent communicator
Diligent
Self Starter
Tech-savvy
Value work-life balance
Committed to continuous learning
Compensation, Logistics and Perks
Competitive salaries benchmarked annually
Some positions eligible for incentive bonuses
401(k) Plan after 6 months of full-time employment with discretionary match and safe harbor contribution
Health Reimbursement Allowance (HRA) monthly after 90 days
Starting at 120 hours of PTO accrued annually
9 Paid holidays annually
In-office work at two locations, San Luis Obispo and Templeton, on the beautiful Central Coast of California
A friendly and transparent work culture that values a work-life balance for all employees
Casual, yet professional office dress
Free financial planning and investment management for employee accounts
Matching donation to a non-profit, as well as flex time to allow for up to 20 hours of service annually
Chief Compliance OfficerA Chief Compliance Officer (CCO) is responsible for developing and implementing compliance policies and procedures for the firm to ensure we remain compliant with SEC and FINRA regulations. Additionally, a CCO will conduct regular compliance training for employees, stay up-to-date with regulatory changes, review marketing materials for compliance, investigate and resolve compliance issues, and serve as the point of contact for regulatory agencies.
A Chief Compliance Officer Focuses On:
Ensuring company policies and procedures for the firm are compliant
Conducting regular compliance training for employees
Staying up-to-date with regulatory changes and ensure the firm remains compliant
Serving as the point of contact for regulatory agencies and preparing and submitting all regulatory filings
Ensuring that the firm's books and records are properly maintained
Requirements for a Chief Compliance Officer:
5+ years of experience in a compliance role within the wealth management industry
Strong knowledge of SEC and FINRA regulations
Excellent communication and interpersonal skills
Ability to work independently and prioritize tasks
Detail-oriented and able to analyze complex information
Professional certifications such as CFA or CFP, or a JD degree are a plus
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As an established firm, we’re continuously growing our financial advisory business to offer the tools, resources, and motivation necessary to help our clients, and one another, build a great future.
Minimum Requirements for All Positions:
Ethical
Positive and constructive
Service focused
Team player
Excellent communicator
Diligent
Self Starter
Tech-savvy
Value work-life balance
Committed to continuous learning
Compensation, Logistics and Perks
Competitive salaries benchmarked annually
Some positions eligible for incentive bonuses
401(k) Plan after 6 months of full-time employment with discretionary match and safe harbor contribution
Health Reimbursement Allowance (HRA) monthly after 90 days
Starting at 120 hours of PTO accrued annually
9 Paid holidays annually
In-office work at two locations, San Luis Obispo and Templeton, on the beautiful Central Coast of California
A friendly and transparent work culture that values a work-life balance for all employees
Casual, yet professional office dress
Free financial planning and investment management for employee accounts
Matching donation to a non-profit, as well as flex time to allow for up to 20 hours of service annually
Chief Compliance OfficerA Chief Compliance Officer (CCO) is responsible for developing and implementing compliance policies and procedures for the firm to ensure we remain compliant with SEC and FINRA regulations. Additionally, a CCO will conduct regular compliance training for employees, stay up-to-date with regulatory changes, review marketing materials for compliance, investigate and resolve compliance issues, and serve as the point of contact for regulatory agencies.
A Chief Compliance Officer Focuses On:
Ensuring company policies and procedures for the firm are compliant
Conducting regular compliance training for employees
Staying up-to-date with regulatory changes and ensure the firm remains compliant
Serving as the point of contact for regulatory agencies and preparing and submitting all regulatory filings
Ensuring that the firm's books and records are properly maintained
Requirements for a Chief Compliance Officer:
5+ years of experience in a compliance role within the wealth management industry
Strong knowledge of SEC and FINRA regulations
Excellent communication and interpersonal skills
Ability to work independently and prioritize tasks
Detail-oriented and able to analyze complex information
Professional certifications such as CFA or CFP, or a JD degree are a plus
#J-18808-Ljbffr