Chief Compliance Officer

Advisors, operations, compliance and technology teams total roughly 7,000 people. Since 1955, the firm has grown through acquisitions of independent advisory practices.

The role:

Reports to the Chief Compliance Officer. This role is fully remote within the US. Normal working hours, Monday to Friday. We send you a laptop and the accessories you need on day one.

Key responsibilities:

• Maintain the compliance risk assessment.
• Write and update compliance policies and procedures.
• Train employees on annual compliance topics and new rules.
• Perform enhanced due diligence reviews on higher-risk accounts.
• Vet new products, marketing materials and disclosures before launch.

Minimum qualifications:

• 12+ years of compliance, audit or risk experience in banking or financial services.
• Strong writing for policies, findings and board reports.
• Working knowledge of BSA/AML, OFAC and consumer lending regulations.
• Bachelor's degree in business, finance or a related field.
• Experience with regulatory exams (FDIC, OCC, Federal Reserve or state regulators)
• Organized, with a careful approach to documentation.
• Comfortable training groups and presenting to committees.

Benefits:

• Health savings account (HSA) with employer contribution.
• 401(k) with company match.
• Three weeks of PTO to start.
• Life insurance.
• Employee discount.
• Flexible schedule.

We read every application and reply within about a week.

A resume is enough to apply. Cover letters are optional.

Start: Immediately.

Demo job created on 11jobs for testing and demonstrations. It is not an actual opening at Switchgrass.