HIFON Group
Gries Financial Partners (Cleveland, OH or Remote) Seeking Chief Compliance Offi
HIFON Group, Cleveland, Ohio, us, 44101
Gries Financial Partners (Cleveland, OH or Remote) Seeking Chief Compliance Officer (CCO)
February 29, 2024Gries Financial Partners (GFP) Seeking Chief Compliance Officer (CCO)GFP is an independent, fee-only RIA founded in 1978. We are headquartered in Cleveland, OH with AUM/AUA of approximately $1.5 billion. We currently have outsourced the CCO role and would like to bring this function in-house. This can be a remote (with quarterly visits to Cleveland office) or hybrid position for the right candidate.Main Responsibilities:Review, enhance and maintain firm’s compliance program and keep up with regulatory changesManage SEC and other regulatory examinationsRegulatory filings including updating ADV/U4Compliance trainingReviewing and testing firm’s policies and proceduresReview / approve marketing materialsRequirements:Prior relevant experience working for a similar-sized RIA in a CCO or senior compliance roleExperience overseeing SEC and other regulatory examsExperience with all regulatory filings with IARD system knowledgeAbility to be a one-person compliance team (with support from outside compliance consultant and legal counsel)Ability to take a balanced view on compliance matters, balancing compliance as well as business requirementsIndustry certification (or 5+ years of experience as a CCO at a similar RIA)Clean BrokerCheck / background check reportSalary and Benefits:Competitive compensation package, based on experienceMedical insurance, including dental and vision plan401(k) plan with company matchPaid time offAPPLY NOW:
Send your resume, reason for looking for a new role and US citizenship status to
hemal@gries.com
#J-18808-Ljbffr
February 29, 2024Gries Financial Partners (GFP) Seeking Chief Compliance Officer (CCO)GFP is an independent, fee-only RIA founded in 1978. We are headquartered in Cleveland, OH with AUM/AUA of approximately $1.5 billion. We currently have outsourced the CCO role and would like to bring this function in-house. This can be a remote (with quarterly visits to Cleveland office) or hybrid position for the right candidate.Main Responsibilities:Review, enhance and maintain firm’s compliance program and keep up with regulatory changesManage SEC and other regulatory examinationsRegulatory filings including updating ADV/U4Compliance trainingReviewing and testing firm’s policies and proceduresReview / approve marketing materialsRequirements:Prior relevant experience working for a similar-sized RIA in a CCO or senior compliance roleExperience overseeing SEC and other regulatory examsExperience with all regulatory filings with IARD system knowledgeAbility to be a one-person compliance team (with support from outside compliance consultant and legal counsel)Ability to take a balanced view on compliance matters, balancing compliance as well as business requirementsIndustry certification (or 5+ years of experience as a CCO at a similar RIA)Clean BrokerCheck / background check reportSalary and Benefits:Competitive compensation package, based on experienceMedical insurance, including dental and vision plan401(k) plan with company matchPaid time offAPPLY NOW:
Send your resume, reason for looking for a new role and US citizenship status to
hemal@gries.com
#J-18808-Ljbffr