Chief Compliance Officer

OverviewMonarch Capital Management serves as investment advisor for individual investors, charitable endowments, private foundations, and corporations. We work with our clients to help them manage their financial lives by providing customized investment solutions. We take a team approach to serving our clients, so everyone is an integral part of the process. We are a fee-only RIA (Registered Investment Advisor), regulated by the SEC. We are seeking to hire a part-time or full-time Chief Compliance Officer exempt position, 20-40 flexible hours per week. Salary will be commensurate with experience.Job ResponsibilitiesFile annual ADV and modify ADV and CRS documents for material changes, as needed.Adhere to all SEC and other regulatory agencies required policies and procedures and keep current with regulatory changes, including educating staff on updates.Complete U-4 filings and updates, as needed.File quarterly 13F holdings report and annual N-PX proxy voting report.Maintain and update Compliance Manual and Code of Ethics documents to reflect current regulatory requirements and best practices.Maintain and review annual compliance checklists.Provide continuous training to staff on all compliance matters.Monitor suitability of investments in client accounts and complete annual suitability review.Review and approve marketing materials, company website changes, and client correspondence.Maintain and monitor business continuity, cybersecurity, and disaster recovery plans.Oversee Information Security Program to safeguard client information.Monitor best execution of trades.Audit client fees.Monitor employee communications.Audit proxy voting process.Monitor employee personal security transactions.Review trades and identify and document trade errors.Work with our SEC compliance consultant to consult on any issues, to ensure best practices and up-to-date policies and procedures.Monitor vendor due diligence.Skills RequiredProfessional demeanor, leadership ability, outstanding communication skills, excellent writing skills, accuracy, organizational ability, proficiency with spreadsheets, adaptability to new technology, analytical ability, high commitment to ethics, self-assurance to address concerns with management, and ability to work independently.Job Types : Full-time, Part-timeExpected hours : 20 – 40 per weekBenefits :401(k)401(k) matchingDental insuranceEmployee discountHealth insuranceHealth savings accountLife insurancePaid time offProfessional development assistanceReferral programRetirement planVision insuranceEducation :Bachelor's (Preferred)Experience :Financial services industry: 1 year (Preferred)Ability to Commute :Fort Wayne, IN 46802 (Required)Work Location : In person

#J-18808-Ljbffr