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Manager & Cco, Ria
West Des Moines, IA Manager & CCO, RIA - Corporate Job Description: The Manager & CCO, RIA position at Sammons Financial Group is a leadership role responsible for providing compliance oversight of Registered Investment Advisors (RIA) and ensuring adherence to policies and regulations. This role requires a Juris Doctorate Degree from an ABA accredited law school and a minimum of 6 years of relevant work experience, with experience in broker-dealer compliance preferred. The Manager & CCO, RIA will be responsible for coaching and developing team members, establishing team objectives, and driving individual and team performance to meet department objectives. This position will also involve collaborating with other departments to address compliance issues, managing regulatory audits and exams, and contributing to the overall strategic vision for the compliance functional area. The Manager & CCO, RIA will also be responsible for overseeing personal securities transactions, advertising and marketing material review, and ensuring compliance with various Acts and regulations. The role offers a competitive salary range of $80,638 - $186,662, along with a generous retirement program and a comprehensive benefits package. Sammons Financial Group is committed to diversity and is an Equal Opportunity Employer. Responsibilities: - Advise key partners on compliance best practices and strategies - Ensure RIA compliance with policies and government/industry regulations - Provide compliance oversight of RIA operational policies and procedures - Lead, coach, and develop team members - Update and maintain Form ADV disclosures for RIA - Serve as the RIA appointed SEC regulatory liaison - Contribute to the overall strategic vision for the compliance functional area - Drive individual and team performance to meet department objectives - Collaborate with other department leaders and employees - Accountable for driving and adhering to Company employee programs - Participate in annual compliance events - Attract and retain top talent - Oversee creation, implementation, and enhancement of compliance oversight - Handle all compliance reviews, issues, and/or concerns - Oversee advertising and marketing material review - Oversee personal securities transactions - Proactively collaborate with other departments - Accountable for driving and adhering to Company employee programs - Embrace Sammons Financial Group Companies' shared values - Regular attendance is required and expected - FINRA regulations require fingerprinting for this position - This role will be subject to a SEC compliance program Requirements: - Juris Doctorate Degree from an ABA accredited law school preferred - Minimum 6 years' relevant work experience preferred - Broker-dealer compliance experience preferred - Experience interacting with federal and state regulators preferred - Knowledge or experience working in financial services and/or other regulated environment required - Knowledge of securities regulations impacting various products required - Knowledge of FINRA Rules and Acts preferred - Ability to develop compliance systems and strategies - Ability to build and maintain key relationships with regulatory personnel and industry contacts - Ability to work under pressure and meet deadlines in a fast-paced environment - Strong leadership skills - Excellent problem-solving and negotiation skills - Passion to help team members, advisors, and clients - Strong process and planning orientation - Ability to coach and develop team members - Maintain client confidentiality and demonstrate integrity - Accountable, adaptable, and flexible - Strong time management and efficiency - Strong verbal and written communication skills - High level of team orientation and interpersonal communication skills - Credit and criminal background check required - Must maintain client confidentiality and demonstrate integrity - Accountable, adaptable, and flexible - Strong time management and efficiency - Strong verbal and written communication skills - High level of team orientation and interpersonal communication skills Licenses and Certifications: - A member in good standing of the Iowa Bar (or admission to and in good standing with another bar enabling reciprocity and admission into the Iowa Bar) required if incumbent holds a Juris Doctorate Degree Salary Information: - Pay Range: $80,638 - $186,662 - Range includes data points from multiple labor markets - Specific range dependent on labor market - Starting salary dependent on candidate qualifications and experience - Incentive programs available for defined goals - Monetary rewards based on individual and/or overall company performance About Sammons Financial Group: - Privately held company focused on long-term value - Leaders and employees consistently focused on long-term growth - Company committed to diversity and inclusion - Equal Opportunity Employer - Healthy balance between work and personal lives - Competitive benefit package including health, dental, vision, retirement, PTO, and holiday pay - Generous retirement program with 100% company funded Employee Stock Ownership Plan (ESOP) - Casual dress code - Fun, friendly work environment - Colleagues who support one another and drive a healthy, high-performing culture |
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