Apply on Employer Site

Western Growers · 1 day ago

Chief Compliance Officer

Irvine, CA

Full-time

Onsite

Director/Executive

$86K/yr - $117K/yr

10+ years exp

Western Growers is dedicated to ensuring the future viability of its members, the farmers who feed the nation. The Chief Compliance Officer is responsible for overseeing compliance activities, managing broker-dealer operations, and ensuring adherence to regulatory requirements while advocating for the organization's mission.

FinanceService Industry

Responsibilities

Identify compliance vulnerabilities and take corrective action

Manage Broker/Dealer compliance, administration, overall supervision of Registered Representatives and Investment Advisers, and regulatory examinations; liaison for all regulatory examinations including those of the SEC, FINRA, MSRB and The Securities Regulation Division of CA and other states

Conduct annual compliance inspection of files; performs daily and periodic surveillance of trading activity; researches and responds to regulatory inquiries, routine and special examinations

Prepare and conduct compliance training presentations for business personnel, including the annual compliance presentation and specialized training on new regulations and policies. Manage, train, and develop Registered Representatives and Investment Advisors; maintain all firm written supervisory materials relating to registered representative (RR) & Investment Advisor (IA) activities

Communicate orally and in writing with internal and external customers including employees, registered representatives, clearing firm, company family entities, vendors and maintain effective and excellent customer service support for all groups

Coordinate with outside securities counsel if needed and operating departments to ensure adherence to laws

Investigate allegations of illegal, improper or unethical conduct by employees or company representatives and address violations

Manage renewals of Errors and Omission (E&O) insurance and other annual policies

Update WSPs, Business Continuity Plan, Cybersecurity Plan and Risk Monitoring reviews, review Website and all advertising for WGFS; advise business management on regulatory and compliance requirements, making effective use of information systems

Assist in preparation of commentaries and liaises with the Finance Department to present the results of the broker dealer in a format consistent with the rest of the firm to executive management and Board of Directors

Serves as Corporate Secretary for Western Growers Financial Services, Inc

Directs the advertising implementation, review, approval, and filing process

Manage all regulatory licensing, state registrations and renewals

Perform ongoing reviews of the operations, marketing, and compliance areas for their adherence to the firm’s Written Supervisory Procedures

Utilize all capabilities to satisfy one mission — to enhance the competitiveness and profitability of our members. Do everything possible to help members succeed by being curious and striving to understand what others are trying to achieve, planning, and executing work helpfully and collaboratively. Be willing to adjust efforts to ensure that work and attitude are helpful to others, being self-accountable, creating a positive impact, and being diligent in delivering results

All other duties as assigned

Qualification

Compliance experienceSECFINRA knowledgeSeries 7 licensingSeries 24 licensingMultitasking skillsCommunication skillsOrganizational skillsEthical judgmentSpreadsheet proficiencyWord processing proficiencyCalendaring software proficiencyIntegrityWriting skills

Required

BA/BS and/or 10 years relevant compliance experience, preferably at a regional or national retail brokerage firm with a proven track record preferred

Excellent familiarity with the U.S. Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) environment and have clean U-4 with current Series 7 (General Securities Rep), Series 24 (General Securities Principal), Series 53 (Municipal Securities Principal), Series 99 (Principal Operations Officer) and Series 66 (Investment Adviser) licensing required

Valid Series 7, 24, 53, 99 and 66 licensing

Experience with commission vs. advisory business and knowledge of trading, trade reviews & the Depository Trust & Clearing Corporation (DTCC) affirmations

Excellent writing and verbal communication skills

Excellent knowledge of spreadsheet, word processing, and calendaring software

High standards of integrity and ethical judgment

Excellent multitasking and organization skills