Chief Compliance Officer - Investment Advisor

• Manage, implement, operate and be responsible for the firm’s compliance program.
• Monitor and test the firm’s policies and procedures to determine the adequacy and effectiveness of the firm’s compliance program.
• Prepare and submit all required regulatory filings and disclosure documents in a timely and accurate manner.
• Train and educate employees on regulatory compliance matters.
• Maintain well organized systemic records of the firm’s compliance program.
• Act as a point of contact for regulators (SEC, FINRA).
• Maintain ongoing expertise in federal and state regulatory policies.
• Oversee employee personal trading and reporting.
• Manage the firm’s surprise audit.
• Assist with the firm’s corporate audit.
• Support related activities.
• Additional responsibilities as necessary.

• 5+ years of experience in Financial Services compliance, specifically working with Registered Investment Advisers
• Strong knowledge and understanding of regulatory filings and relevant regulations and laws.
• Experience with Greenboard is a plus.
• Proficient in Microsoft Office (Word and Excel).
• Excellent written and oral communication skills.
• Strong customer service skills.
• Ability to work and make decisions independently within a collaborative team environment.
• High attention to detail and accuracy.
• Unquestionable integrity and dependability.

Pulled from the full job description

• Professional development assistance
• 401(k)
• Health insurance
• Retirement plan
• Paid time off
• Vision insurance
• Dental insurance, * Company paid medical insurance, including company contribution to a Health Reimbursement Account
• Company paid dental, life and disability insurance
• Eligibility for 401k/retirement plan and profit sharing after 1 year of employment (at first opening thereafter)
• Parking or public transportation assistance

Job Type: Full-time

Pay: $150,000.00 - $200,000.00 per year, * 401(k)

• Dental insurance
• Health insurance
• Paid time off
• Professional development assistance
• Retirement plan
• Vision insurance

Heritage Investors Management Corporation, is searching for a Chief Compliance Officer to manage all aspects of the firm’s compliance program. Heritage, based in Bethesda, MD, is an SEC-registered investment advisor managing approximately $4.9 Billion in assets. Established in 1975, Heritage has consistently delivered value to its clients by understanding their financial objectives and utilizing a disciplined, time-tested investment process that effectively achieves them. Heritage is proud of its track record and its focus on the individual client as the basis for its investment strategy.