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Compliance Officer

Company: The Pacific Financial Group, Inc.
Location: Bellevue
Posted on: March 28, 2020

Job Description:

The Compliance Officer will be responsible for the management and organization of day to day operations all regulatory and compliance related functions including development, implementation and enforcement.Reporting to Chief Compliance Officer, this position's primary responsibility is ensuring organizational effectiveness by managing compliance education and policies across all departments in a fast growing financial services company.Responsibilities for this role include:----------------------Update, implement, document, and maintain the Compliance training Program, as necessary. The Compliance Program shall be maintained and updated annually to ensure accessibility, compliance with applicable laws and statutes and continuity.Coordinate resources to ensure the ongoing effectiveness of the Compliance Program.Draft periodic reports and an annual evaluation on the operation of the Compliance Program and the effectiveness of the Policies and ProceduresPrepare information and organize materials for compliance audits and/or site visits for and by applicable agencies.Coordinate with department directors and managers, legal counsel and the Human Resources Department as necessary and applicable in the execution of the Compliance Program.In a timely fashion, update and distribute applicable policy and procedures with current compliance information, along with notification and/or training on the effect or implication of such policy or procedureAssist internal departments in establishing, maintaining, and updating programs to educate and train managers and other employees regarding applicable state and federal compliance requirementsMonitor and identify state and federal regulatory changes that impact the companyEnsure that employees are informed of the Company's policies and procedures and maintain regular education and effectivenessCommunicate the Compliance Program's code of conduct, policies, and procedures in a practical manner to all employees through regular training and education programs and other appropriate means.Draft responses/action reports of compliance matters for CCO reviewEstablish productive working relationships with all Company departments and employees to facilitate operation of the Compliance Program including education, training, compliance, auditing and reporting.Consistent with the compliance program, assist departments in compliance identifying, prioritizing, and undertaking monitoring and auditing activities. Lead in the coordination with applicable departments and/or agencies to develop audit procedures to ensure departmental desk procedures comport with the compliance program.Develop and/or ensure internal controls are capable of preventing and detecting significant instances or patterns of illegal, unethical, or improper conduct.Assist department managers in establishing routine audit and reporting procedures in accordance with compliance requirements. In the event of non-compliance, work with applicable department manager to establish a corrective action plan, following up on such plan until compliance is restored.Analyze audit reports provided by internal departments and provide analyses of results, risk assessment, and trends.Track all issues referred to the Compliance Department, including grievances, up to and including implementation of corrective action.Working with the Chief Compliance Office, coordinate implementation of corrective action plans.Monitor, track, and audit the compliance program, identify risks, and ensure departmental compliance on an ongoing basis.QUALIFICATIONS:Bachelor's degree3+ years' experience in SEC/State register investment adviser and/ro FINRA regulatory compliance.Mutual Fund Experience, a plusExcellent oral and written communication skills, with emphasis on effective education, training, and reporting.Inquisitive and analytical problem solver with initiative and ability to work independently.Excellent interpersonal skills and ability to perform effectively with members of different departments as a team.Ability to effectively present and represent the Company's interests externally with regulators.Excellent computer analysis and research skills.Ability to read, analyze and interpret professional journals, technical procedures, governmental regulations, and legal documents.Ability to understand and discuss detail, but also to develop and manage high-level plans and strategies.Strong influencing skills and perseverance in investigating.Demonstrates high integrity and excellent judgment.Experience in use of various computer system software as well as Windows, Microsoft Word, Microsoft Excel, Microsoft Outlook and Microsoft PowerPoint.LocationThis position is open to applicants in both the Bellevue, WA area and the Orange County, CA area. We will be assessing candidates for either of our office locations.The Pacific Financial Group Inc. ('TPFG') is an innovative, fast growing investment advisory and WealthTech company based in Bellevue, Washington providing wealth management advice to investors, independent investment advisors and wealth management companies. TPFG has approximately $3 Billion in assets under management and 70 employees located in three administrative offices. We pride ourselves itself on the principle that everyone should have access to quality, independent investment advice. We maintain a friendly, supportive workplace in which each individual is given the opportunity to advance their potential.Our company offers competitive salary, as well as comprehensive benefits including:100% Company paid Medical, Dental, and Vision insurance coverage for employee Scheduled Holidays, following the NYSE calendarPTO plan of 17 days per year, prorated and accrued on a per pay period basisParticipation in company 401K planAdditional health insurance coverage available at personal cost, such as additional life, Flexible Spending Account (FSA), long-term disability, and/or short-term disability.

Keywords: The Pacific Financial Group, Inc., Bellevue , Compliance Officer, Other , Bellevue, Washington

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