Job Description

Get AI-powered advice on this job and more exclusive features. This range is provided by Fiducient Advisors. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more. Base pay range $210,000.00/yr - $275,000.00/yr Fiducient Advisors provides tailored and personalized investment consulting services to clients such as retirement plan sponsors, endowments and foundations, private clients, and financial institutions. We operate with over 200 professionals nationwide, supporting our distinct purpose of helping clients prosper. The Chief Compliance Officer is responsible for managing the firm’s compliance and compliance risk programs, ensuring regulatory adherence, guiding compliance initiatives, and fostering strong partnerships across teams and stakeholders. Responsibilities: Lead compliance program in accordance with the Investment Advisers Act of 1940, including responsibility over compliance documentation (Compliance Manual, Code of Ethics, Policies and Procedures), compliance testing and monitoring program, and employee compliance training Guide, develop, and support members of theCompliance team Develop, oversee, and prepare periodic reports to senior management and the Executive Committee Evaluate new or enhanced services, processes, or initiatives for compliance issues Maintain effective compliance communication, including promoting heightened awareness of compliance requirements, understanding of new and existing compliance issues, and related policies and procedures Assist with the maintenance of new and updated client agreements Perform regulatory research and assessment of new regulatory developments for all business lines Oversee regulatory filings and IAR registrations Maintain awareness and understanding of ERISA regulations impacting the firm’s business Identify and anticipate potential risks, chair the Risk Committee, and lead compliance risk management activities Maintain and build trusted relationships with essential business partners, colleagues, external vendors, and key stakeholders Manage and oversee regulatory examinations Required Education, Professional & Technical Experience Legal degree preferred 10+ years of Compliance experience as a Chief Compliance Officer or in a senior Compliance Officer level role with an SEC registered investment adviser, combined broker-dealer/RIA, or at a regulator Experience with managing and overseeing regulatory examinations Knowledge and experience with the investment consulting industry and/or institutional clients Knowledge and experience in ERISA is a plus Leadership skills, with steadfast resolve and personal integrity Ability to diagnose problems quickly and have foresight into potential issues Strategic business partner at all levels of leadership Success in managing and optimizing teams of people A mindful and respectful approach to a culture of compliance Thoughtful practitioner with the ability to establish rapport and build relationships. Exceptional communication in a public setting with notable writing and presentation skills. Adaptability when priorities shift and able to work independently. Sound judgment and problem-solving skills. Innovative, curious, and enthusiastic. Detail-oriented with a high level of accuracy and organization. Ability to cultivate and develop inclusive and collaborative working relationships to support a sense of belonging. Passionate about working in an organization that values and promotes inclusion and belonging. Less than 5-10% of travel for training and business events. This role offers a hybrid work model with three days in one of our professional office environments and two days remotely. Physical Job Expectations The physical job expectations described here are representative of those that must be met by an associate to successfully perform the essential functions of this job: Must be able to remain in a stationary position for up to 8 hours. Constantly operate a computer and other office productivity machinery, such as a calculator, copy machine, and computer printer. The ability to communicate information and ideas so others will understand. Must be able to exchange accurate information. The person in this position may at times need to move throughout the building to access different areas. Ability to move equipment weighing up to 25 pounds. Reasonable accommodations may be made to enable individuals with disabilities to perform their primary responsibilities. What We Offer (Summary Highlights) A workplace that welcomes authenticity and practices acceptance for what makes each of us different. We are committed to educating our team, growing as a firm, and taking intentional actions related to inclusion and belonging. We strive to be active participants of change in and outside our industry. The base salary range for this position is $210K - $ 275K. The base salary offered will be determined by factors including, but not limited to, experience, credentials, education, certifications, skill level required for the position, the scope of the position, and geographic location. Actual base salary offered will be determined on a case-by-case basis. In addition to the base salary, this position may be eligible for performance-based incentives. Paid Time Off Generous PTO with optional rollover Personal/Sick Time 10 Holidays with additional half days off for specific holidays throughout the year Bereavement Time –inclusive time off for a loved one, unborn child, or pet. Employer Paid Parental, Personal and Family leaves. Professional Development Day for eligible exams Work Life Convenience Benefits Exclusive Wellness Benefit Programs from VirginPulse, Care.com, Torchlight, Real Appeal, Peloton and more KindBody – Family & Fertility Assistance Wellness Reimbursement Program Professional Development Designation reimbursement Employee Referral Program Employee Resource Groups, Mentorship Program & New Hire Cohort 401K Plan with company match Cell Phone Reimbursement Program Fiducient Advisors provides equal employment opportunities to all associates and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws. Seniority level Seniority level Executive Employment type Employment type Full-time Job function Job function Other Referrals increase your chances of interviewing at Fiducient Advisors by 2x Get notified about new Compliance Officer jobs in Hartford, CT . Manchester, CT $53,000.00-$75,000.00 2 weeks ago Clinical Supervisor: Sign on bonus of $7,500! Hartford, CT $86,000.00-$105,000.00 1 week ago Financial Services - Global Compliance and Reporting - Real estate -Tax Senior Analyst-EDGE Hartford, CT $76,000.00-$125,300.00 3 weeks ago Waterbury, CT $60,000.00-$80,000.00 2 years ago Senior Manager International Tax Compliance & Reporting (Hybrid) Farmington, CT $124,000.00-$250,000.00 3 weeks ago Clinical Supervisor: Sign on bonus of $7,500! Bristol, CT $86,000.00-$105,000.00 2 weeks ago Windsor, CT $100,000.00-$125,000.00 3 months ago Springfield, MA $135,000.00-$155,000.00 1 week ago Deputy Information System Security Officer Connecticut, United States $90,000.00-$130,000.00 1 week ago Hartford, CT $158,400.00-$237,600.00 2 months ago Healthcare Regulatory and Compliance Attorney Training and Compliance Instructor - First Aid and Safety Tax Manager - National Tax (Compliance and Consulting) Vice President, Safety and Regulatory Affairs R37789 Senior Manager of Accounting & Compliance Connecticut, United States $160,000.00-$170,000.00 5 days ago Farmington, CT $124,000.00-$250,000.00 2 weeks ago Internal Audit Manager, Consumer Compliance Southington, CT $100,000.00-$135,000.00 17 hours ago Financial Services - Global Compliance and Reporting - Real Estate - Tax Manager Hartford, CT $116,200.00-$212,900.00 3 weeks ago Hartford, CT $150,000.00-$180,000.00 1 week ago Bristol, CT $42,882.00-$48,149.00 2 weeks ago AVP, Product Compliance & State Filing - Retail Annuities Hartford, CT $125,800.00-$229,100.00 1 week ago Financial Services - Global Compliance and Reporting - Real estate -Tax Services Manager-EDGE Hartford, CT $104,600.00-$191,600.00 3 weeks ago Springfield, MA $60,000.00-$90,000.00 14 hours ago Managing Consultant, Demolition & Environmental Field Manager Hartford, CT $94,595.00-$115,574.00 1 week ago Connecticut, United States $42.19-$63.28 1 month ago Contractor SAP Security Officer (CSSO) (Onsite) East Hartford, CT $101,000.00-$203,000.00 1 day ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI. #J-18808-Ljbffr Fiducient Advisors LLC

Job Tags

Similar Jobs