Location: Scottsdale, AZ
Company: Trajan Wealth
embraces the importance of this role and what it means for our clients. Additionally, as an OBA, we solicit fixed insurance such as FIA products. The decisions we make and the advice we provide are always in our client's best interest. Our disciplined and objective investment and financial planning process provides trust and the peace of mind which is so highly valued.
Primary Responsibilities: Trajan Wealth LLC is seeking a full-time General Counsel - Chief Compliance Officer to develop the company's overall Legal & Compliance strategy. This is a new position for an incoming General Counsel - Chief Compliance Officer who will be working with third party counsel as needed. The General
Counsel - Chief Compliance Officer will be responsible for compliance of the RIA book which account for over $1 Billion in assets. Responsibilities: Provide leadership, strategic direction and oversight of the Legal and Compliance function Drive a culture of compliance throughout the business Develop and implement organizational policies and procedures Monitor and review activities of business and support organization to ensure compliance with internal policies and external laws and regulations.
Act as a primary interface with regulators on Compliance matters Establish and maintain strong working relationships as needed Identify, facilitate, and/or implement changes to policies and procedures
in response to changes in laws and regulations effecting the financial services and insurance industry.
Monitor compliance issues to resolution including issue identification, resolution plan determination and final resolution Review, amend, and approve any and all marketing mediums which include websites, radio and television advertisements, print and mailers Requirements: Juris Doctorate (JD) from an accredited law school 10+ years of experience practicing law in financial markets; preference RIA industry 5+ years of leadership experience Previous employment experience with SEC or FINRA; highly desired Technical expertise in FINRA, SEC and state rules and regulations Experience in auditing, legal and regulatory compliance High level problem-solving skills are required; problems are technically complex and require the collection, interpretation, and analysis of data from diverse sources Strong ability to quickly implement strategy and establish previously used systems Strong business acumen, exceptional problem solving, decision making and analytical skills.
Ability to excel in a fast-paced growing organization Excellent written and verbal communication skills Excellent computer skills including Microsoft Office - Word, Excel and Power Point Experience utilizing or ability to quickly learn - TD Ameritrade, Raymond James and Salesforce.
Compensation Package: Competitive Salary 401K with matching component United Healthcare PPO Medical - employee portion paid for by the Company Delta Dental and UHC Vision Life Insurance, Short-Term and Long-Term Disability options available and much more Generous holidays and PTO Come and join a team that is making a difference in their clients' and employees' lives!
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