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Compliance Officer

Company: Gpac
Location: Port Saint Lucie
Posted on: September 18, 2022

Job Description:

Job Description

This company is in search of a candidate with substantial compliance experience in wealth management. The Compliance Officer reports to the Chief Operating Officer. If you're passionate about working with creative, capable, and collaborative people in a supportive and solutions focused environment that prioritizes relationships and results - keep reading.


  • Ensure that the firm has adequate policies and procedures to comply with applicable CFTC, NFA, CME, etc. rules and regulations.
  • Ability to act as Anti-Money Laundering Chief Compliance Officer.
  • Act as point person for all external regulatory exams including CFTC, NFA, CME.
  • Ensure timely and complete responses to all regulatory inquiries.
  • Stay informed of the current legal and regulatory landscape and ensure accuracy of firm procedures about new or changed rules.
  • Conduct initial due diligence and facilitate the onboarding process of new business.
  • Keep Chief Operating Officer and Executive Committee apprised of firm compliance and any regulatory changes affecting the firm.
  • Ability to complete annual CCO Report and submit to regulators by due date.
  • Serve as liaison with regulators, outside counsel and compliance consultants.
  • Deliver compliance trainings to employees.
    Candidate Skills/Requirements:

    • Bachelor's Degree in a related field required (J.D. MBA preferred);
    • Series 7 and 65 required (Series 24 a plus)
    • 10-15 years of wealth management and asset management experience, in a Compliance role with a SEC registered investment advisor
    • Self-motivated, high level of dependability, team-oriented, organized, good attention to detail, and strong verbal, written, and interpersonal skills required.

      All qualified applicants will receive consideration without regard to race, age, color, sex (including pregnancy), religion, national origin, disability, sexual orientation, gender identity, marital status, military status, genetic information, or any other status protected by applicable laws or regulations. GPAC (Growing People and Companies) is an award-winning search firm specializing in placing quality professionals within multiple industries across the United States since 1990. We are extremely competitive, client-focused and realize that our value is in our ability to deliver the right solutions at the right time.

Keywords: Gpac, Port St. Lucie , Compliance Officer, Other , Port Saint Lucie, Florida

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