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Chief Compliance Officer

Company: Howard Bailey Financial, Inc.
Location: Fort Wayne
Posted on: March 26, 2020

Job Description:

The world of Compliance is rapidly changing, and we're prepared to change with it! At Howard Bailey Financial, Inc., we are looking for the next breed of Chief Compliance Officer, a Director of Excellence. We are seeking an individual who is not only broad-minded, change-oriented and future-focused but also possesses competencies such as defining compliance strategy, financial discipline, change management and that can build credibility with regulators. Our desire in filling this role is threefold: the need for an advanced understanding of transactions within the digital realm, the ability to manage regulators and the need for leadership. With this in mind, we are open to exploring which industry professional will be the best fit for this position and we will consider individuals who have a background in law, auditing, banking, asset management and insurance. The Chief Compliance Officer will ensure our firm has internal controls that adequately measure and manage the risks we face.Key Responsibilities:Defining the necessary level of knowledge on existing and emerging regulatory compliance requirements across the organization.Overseeing and monitoring the implementation of the compliance program.Developing the annual compliance work plan that reflects the organization's unique characteristics.Periodically revising the compliance plan in light of changes.Providing guidance, advice and training to improve business' understanding of related laws and regulatory requirements.Providing strategic direction to the leadership team on compliance.Preparing for and overseeing audit processes. And interacting with regulators on compliance issues.Coordinating efforts related to audits, reviews, and examinations.Coordinating internal compliance review and monitoring activities, including periodic reviews of departments.Independently investigating and acting on matters related to compliance.Basic Requirements:Positive and personable attitude4 year college degree REQUIREDAdvanced degree preferred2+ years Compliance or Legal experience REQUIRED2+ years financial industry experience preferredKnowledge of securities concepts, practices, rules and regulations and common investment products preferredSeries 65 and Life and Health License preferredAdvanced communication skillsSuperior analytical abilitiesProven ability to problem solveSense of urgency and decisive mannerStrong organizational skills needed with the ability to multitaskAccuracy and efficiency with meticulous attention to detailsHigh proficiency in the use of the following software applications: Microsoft Excel, Word, and OutlookBUT it's not all about what we want-it's also about what we would like to offer you!Our firm is offering a superb deal for the right Chief Compliance Officer. The opportunity to be a part of a rapidly growing and unique financial firm that promotes a FUN and team-oriented culture. We offer Best in Class service to our clients and prospects. But we don't stop there. We also provide unrivaled benefits to our team including a competitive compensation package including company-sponsored Health, Dental, Life and Disability insurance. We offer a 401K with a company match. Oh, and don't forget the Paid Time Off! For this position, we are offering up to 32 days off per year PLUS paid holidays! In addition, we have a work hard/play hard atmosphere. When we are not serving our clients, you may find us chatting about the daily morning brainteaser, grabbing lunch together or enjoying a company-sponsored spa day as a reward for doing an awesome job. We certainly recognize that our team members are what make our continued growth possible.[NOTE: The base compensation for this role is $60k-$102k]

Keywords: Howard Bailey Financial, Inc., Fort Wayne , Chief Compliance Officer, Executive , Fort Wayne, Indiana

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