Chief Compliance Officer

The Chief Compliance Officer is responsible for keeping our RIA compliant with federal and state securities laws by establishing controls, best practices, and ethical standards. This position develops, implements and coordinates the compliance functions throughout CreativeOne. This includes staying abreast of current issues in the regulatory environment, changes in the securities law and advising senior management on industry rules, regulations and how they should be implemented and enforced. With a high level of autonomy, the Chief Compliance Officer uses extensive knowledge and skills obtained through education, specialized training and/or certification to design, implement and supervise a comprehensive compliance and oversight program designed to ensure compliance with all regulatory requirements that apply to CreativeOne.Duties and Responsibilities include, but are not limited to:Lead/manage compliance operations team to support the broker dealer and investment adviser entities in sustaining compliant operations, products and services.Actively engage with and act as the point of contact for regulators, auditors, and third party due diligence partners, demonstrating deep knowledge of the regulations as they apply to our business, products and services.Partner with the General Counsel and senior legal team on analyzing regulations and their applicability to our products and services, striving to provide creatively compliant solutions.Enhance and maintain the organizational and record-keeping processes that enable timely and accurate responses to regulatory inquiries and examinations as they arise.Periodically review, maintain, update and test written compliance policies and procedures for the investment adviser operations, including completion of any associated remediation.Monitor, advise, and implement all relevant regulatory rule changes.Review and periodically update the continuing education program for all employees, including the Code of Ethics, as well as providing mentoring and training for licensed professionals.Ensure accurate and timely filings of required regulatory documents such as ADV Part 1, ADV Part 2A, ADV Part 2B, and other periodic filing requirements.Critical Skills SoughtStrong work ethic and hands-on approach.Customer and business-centric and collaborative mindset.Proven ability to communicate effectively at all levels of an organization.Strong organizational skills and confirmed ability to set and meet deadlines in a high-paced environment.Advanced analytical skills, including demonstrated experience identifying and quantifying problems and providing effective solutions.Strong project-management skills, with creative techniques to coordinate across departments and functions.Well-versed in the art of drafting procedures and evaluating internal controls.Our Core ValuesProvide Unreasonably Excellent ServiceLove What We DoAct with IntegrityCollaborate CourageouslyEvolve with PurposePreferred Background/ExperienceBA/BS required.FINRA licenses 65 or 66 required; series 24 a plus.Broker/Dealer, FINRA experience.Minimum of 10 years' professional experience, including direct experience as a compliance professional at a broker-dealer, investment advisory firm, or state or federal securities office.Deep knowledge of SEC regulations and the Investment Advisers Act of 1940; working knowledge of the Investment Company Act of 1940 a plus.This description covers the major purpose and major functions of the job. It is not intended to give all details or a step-by-step account of the way each task is to be performed. Employees may receive other job-related instructions and be required to perform other job-related duties requested by their supervisor.Job Type:

Full-timePay:

From $120,000.00 per yearBenefits:401(k)Dental insuranceHealth insuranceLife insurancePaid time offTuition reimbursementVision insuranceSchedule:Monday to FridayApplication Question(s):This position is not eligible for remote work at this time, and will be in-office, onsite in Overland Park, Kansas. Please confirm you understand this requirement.Education:Bachelor's (Preferred)Experience:Compliance professional: 10 years (Required)License/Certification:FINRA license 65 or 66? (Required)Series 24 (Preferred)Work Location:

In person

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