Chief Compliance Officer at Confidential

Dynamic Environment

Chief Operating Officer

Ashton North Columbus, Mississippi

Are you a strategic leader with a passion for operational excellence? Do you thrive in dynamic environments and excel at turning vision into reality? If so, YOU to be our client's next Chief Operating Officer (COO)! Why Join Us? The client is a forward-thinking organization dedicated to growth, innovation, and excellence. As their COO, you will be the driving force behind our daily operations and strategic initiatives, working closely with the President & CEO to ensure efficiency and sustainable success. If you're ready to make a significant impact and lead a talented team, this is your opportunity! Key Responsibilities: Develop and execute robust business strategies and operational plans. Set and monitor ambitious goals for performance and growth. Foster a strong, positive organizational culture and uphold our vision. Oversee multiple departments including IT, Marketing, Sales, and Finance. Lead, inspire, and motivate employees to achieve their highest potential. Analyze and interpret data to measure operational success. Provide key insights and reports to the CEO on operational performance. Support corporate expansion through investments, acquisitions, and alliances. Build and maintain strong relationships with partners, vendors, and customers. Ensure compliance with national and local regulations. What You Bring to the Table: Proven leadership experience in business operations, strategic planning, and growth initiatives. In-depth knowledge of business functions including HR, Finance, and Marketing. International business experience with Aerospace or DOD is a plus! Strong analytical skills and proficiency in IT/Business infrastructure. Excellent organizational, leadership, and communication skills. Ability to make critical decisions and solve complex problems effectively. Bachelor's degree in Business Administration or a related field required; Master's degree, MBA, or JD preferred. Must meet U.S. person criteria as per 22 U.S.C § 6010. Ready to Make a Difference? We're looking for an ambitious leader ready to take our organization to new heights. If you're excited about driving success, fostering innovation, and making a lasting impact, apply today and let's build the future together! #Promote

Dynamic Environment

Customs and Border Protection Officer

U.S. Customs and Border Protection Columbus, OH

U.S. Customs and Border Protection (CBP) offers those interested in a career in law enforcement an exceptional opportunity to work with an elite team of highly trained professionals whose camaraderie, pride, and purpose are hallmarks of their daily...

Work Life Balance

Compliance Officer

Educational Solutions Company Columbus, OH

Job Description Job Description Description: Do you have a strong understanding of regulations and a passion for ensuring an organization operates ethically? If so, then a career as a compliance officer might be a perfect fit for you! As a compliance officer, you'll be responsible for developing and implementing a comprehensive compliance program that safeguards the organization from legal and financial risks. This includes staying up-to-date on industry regulations, conducting audits, and educating employees on compliance policies. Basic Responsibilities: * Develop and implement a company-wide compliance program * Conduct risk assessments to identify potential compliance issues * Monitor adherence to internal controls and regulations * Investigate and report on compliance incidents * Design and deliver compliance training programs * Collaborate with various departments to ensure compliance integration Governance of legal compliance: • Knowledge of State, Federal regulatory laws and legislative updates • Ensure that all Epicenter documents and/or other sponsor requirements are completed in a timely manner • Assist in maintaining accreditation documentation with Cognia • Ensure that all health/safety inspections are kept current • Facilitate all outside inspections necessary for each building operated by Educational Solutions including but not limited to food service, grounds and building • Ensure compliance and timely submission of ODE requirements as it relates to academic and fiscal requirements, which includes monitoring tools • Review all staff for current and up-to-date licenses as necessary • Ensure all background checks are current • Ensure all drivers licensure checks are completed periodically to ensure are free from accidents • Business Continuity Plan and Emergency Plan • Ensure deadlines are met throughout various departments Process & Practices (aligned) • Enrollment packet updates and legal requirements • Ensure handbooks are current and corresponding documents are updated as needed Risk Mitigation & Assessments • IT passwords/firewalls/network • Work collaboratively with school personnel, safety committee members and other stakeholders to maintain and update annual Safety Plan for each school location. Reporting: • Parent/Teacher Surveys as required/needed • EMIS oversight (is this enrollment/withdraws/errors addressed in a timely fashion. Other: • Performs other duties as assigned by Finance Director and/or designee. Working Conditions: • Mental Demands/Physical Demands/Environmental Factors: • Unusual and/or long hours to be anticipated. • Maintain emotional control under stress. • Work with frequent interruptions. • Occasional district wide travel; occasional prolonged and irregular hours. • Frequent sitting, bending, reaching, lifting and occasional stairs. Educational Solutions Company is an equal opportunity employer. All applicants are considered for all positions without regard to age, race, color, national origin, religion, sex, marital or veteran status, medical condition, or disability, or any other legally protected reason. If you're a highly motivated individual with a commitment to ethical business practices, then we encourage you to apply! Requirements: Qualifications: * Bachelor's degree in business administration, finance, law, or a related field * Minimum of 3-5 years of experience in compliance or a related field * Strong understanding of relevant industry regulations * Excellent analytical and problem-solving skills * Effective communication and interpersonal skills * Proactive and detail-oriented

Compliance Officer

I Am Boundless, Inc. Columbus, OH

Job Description Job Description Summary/Objective The Compliance Officer is a director-level position responsible for overseeing and managing the compliance function across the organization, ensuring adherence to legal and regulatory requirements, promoting ethical practices, and fostering a culture of compliance. The compliance Officer is responsible for operationalizing all 7 elements of an effective compliance program. The organization provides integrated health and human services to special populations, including individuals with Intellectual and Developmental Disabilities (I/DD) and Behavioral Health (BH) needs. The Compliance Officer works under the Chief Legal Officer & General Counsel (CLOGC) and the Senior Director of Compliance, Quality, Training and Access (SDCQTA) and collaborates closely with other departments to support the organization’s mission and strategic goals. Essential Functions Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. 1.Compliance Program Leadership: o Develop, implement, and maintain a effective compliance program that aligns with the organization’s mission and regulatory requirements. o Ensure compliance program addresses applicable federal, state, and local laws and regulations, particularly those related to healthcare services, Medicaid, and other relevant areas, in a reasonable manner for the function to prevent, detect, and correct noncompliance issues. o Lead efforts to create and update a code of conduct and policies & procedures that address compliance risks, ensuring these documents reflect current legal standards and organizational objectives. 2.Risk Management and Auditing: o Work closely with the CLOGC, Risk Manager, and other key stakeholders to identify, assess, and mitigate risks identified. o Partner and work collaboratively with the Compliance Manager to further develop and manage an Auditing & Monitoring Dashboard to track internal and external audit activities, compliance with regulations, and effectiveness of corrective actions. o Establish a formal, project management-focused process for correcting noncompliance and conducting risk assessments, documenting identified risks, and prioritizing them based on severity and likelihood. 3. Policies and Procedures: o Lead the development, implementation, and regular review of compliance policies and procedures, ensuring they are aligned with the organization’s goals and regulatory requirements. o Partner with various departments and create compliance reporting demonstrating compliance with expectations to ensure that policies are understood, properly implemented, and regularly updated as needed. 4. Corrective Action and Continuous Improvement: o Develop and oversee a comprehensive corrective action process that tracks issues identified through audits, monitoring activities, incident reports, or any other mechanism. o Ensure that corrective actions are effectively documented, assigned ownership, monitored, and evaluated for impact, supporting continuous improvement across the organization. 5. Data Governance and Reporting: o Establish and maintain a data governance framework that ensures the accuracy, consistency, and timeliness of data used for compliance reporting and decision-making. o Collaborate with the analytics team to integrate data platforms for real-time insights, trend analysis, and informed decision-making. 6. Communication and Training: o Develop and deliver targeted compliance training programs for employees at all levels, ensuring that staff are knowledgeable about relevant laws, regulations, and company policies. o Partner with the Compliance Manager to produce and distribute compliance newsletters that provide relevant updates, compliance tips, and regulatory changes tailored to specific departments. 7. HIPAA Privacy Compliance: o Lead efforts to address gaps identified in HIPAA privacy , developing comprehensive policies and procedures to protect sensitive information. o Be a partner for the Information Technology and Analytics team building the HIPAA security rule compliance framework. o Build systems and processes to report whether the organization complies with all applicable privacy and security regulations, including regular training and awareness initiatives. 8. Governance and Compliance Effectiveness: o Work with GLOGC and SDCQTA to evaluate the effectiveness of the compliance program, benchmarking against industry standards and best practices. o Implement governance process oversight to ensure timely renewals of certifications, licenses, and other critical compliance obligations Required and Preferred Education and Experience •Education & Certification: o Bachelor’s degree in healthcare administration, business, or a related field required. o Advanced degree or relevant professional certifications (e.g., Juris Doctor or Master’s in Healthcare Administration) preferred but not required. o Certification in Healthcare Compliance (CHC) from the Health Care Compliance Association (HCCA) preferred but not required. • Experience: o 10 years of experience in compliance leadership, preferably within a healthcare or human services environment. o 5-10 years supervisory experience in compliance or a related field o Extensive knowledge of laws and regulations related to I/DD, Behavioral Health, and integrated care services. o Demonstrated experience in managing compliance programs, including policy development, risk management, and auditing processes. • Skills and Competencies: o Strong analytical, communication, and leadership skills. o Proven ability to manage multiple projects and prioritize tasks effectively. o Ability to work independently and collaboratively across departments. o Commitment to ethical conduct and continuous improvement. Supervisory Responsibilities: The Compliance Officer supervises compliance staff and may oversee other team members involved in compliance-related tasks. The role also includes working closely with the CLOGC and SDCQTA and other department leaders to provide guidance on compliance matters. Work Environment: This role primarily operates remote work. Occasional travel may be required for site visits, audits, or external meetings.

Chief Nursing Officer

Encompass Health Columbus, GA

Job Description Job Description Chief Nursing Officer Career Opportunity Honored and esteemed for your Chief Nursing Officer expertise Are you seeking a transformative nursing leadership opportunity that feels close to home and heart? Encompass Health invites you to step into the role of Chief Nursing Officer at one of our 150+ in-patient rehabilitation hospitals, where we redefine the meaning of a fulfilling career. In our dynamic healthcare environment, experience the warmth of a welcoming community from the start. This role allows you to contribute to patients' well-being by providing compassionate care and support while playing a pivotal role in achieving inspiring healthcare outcomes. As a Chief Nursing Officer, you'll understand that even small victories can yield substantial impacts, taking responsibility for the quality of nursing care provided by the staff. Join us on a journey where your leadership transforms lives, offering a career that combines professional excellence with a deep connection to your roots. A Glimpse into Our World At Encompass Health, you'll experience the difference the moment you become a part of our team. Being at Encompass Health means aligning with a rapidly growing national inpatient rehabilitation leader. We take pride in the growth opportunities we offer and how our team unites for the greater good of our patients. Our achievements include being named one of the "World's Most Admired Companies" and receiving the Fortune 100 Best Companies to Work For® Award, among other accolades, which is nothing short of amazing. Starting Perks and Benefits At Encompass Health, we are committed to creating a supportive, inclusive, and caring environment where you can thrive. From day one , you will have access to: Affordable medical, dental, and vision plans for both full-time and part-time employees and their families. Generous paid time off that accrues over time. Opportunities for tuition reimbursement and continuing education. Company-matching 401(k) and employee stock purchase plans. Flexible spending and health savings accounts. A vibrant community of individuals passionate about the work they do! Join a vibrant community of individuals who are passionate about what they do. Yes, we consider this a valuable benefit. Be the Chief Nursing Officer you've always aspired to be Collaborate with all medical, clinical, and therapeutic disciplines to foster a patient-focused, team-oriented culture that delivers superior service and outstanding outcomes. Develop patient care programs, policies, and procedures that outline how patients' needs for nursing care, treatment, and services are assessed, evaluated, and met. Act as a representative for nursing on various committees, including the Governing Body, Quality Council, Med Exec, Infection Control, Education, and Ethics Committees, as needed. Support cultural diversity and maintain an inclusive, respectful work environment. Cultivate an environment and culture that empowers the hospital to fulfill its mission by exceeding its goals, communicating the hospital's mission to all staff, holding staff accountable, motivating the team, and taking charge of measurement and assessment. Implement Joint Commission, CMS, State, rehabilitation nursing, and hospital standards. Utilize a staffing matrix that factors in patient acuity and adjusts staffing to meet budgeted NHPPD. Integrate complex data to make informed decisions, develop programs and plans that optimize health, promote wellness, manage illness, and prevent patient complications. Celebrate the achievements of your staff and patients along the way. Qualifications Possess a current RN licensure as required by state regulations. Hold BLS certification (ACLS preferred). Commit to obtaining CRRN certification within a year of meeting the eligibility requirements. Possess a Bachelor's Degree in Nursing or a related field, unless a higher degree is mandated by state regulations. Advanced Degree, plan to receive an advanced degree, or knowledge and skills associated with an advanced degree required unless otherwise specified by state regulation. Five years of experience in an inpatient hospital setting. Two years of recent (within the last 5 years) Nursing Management experience, with responsibilities including 24-hour accountability, FTE management, policy, procedure, and budgetary oversight, as well as conducting disciplinary action. May be required to work weekdays and/or weekends, evenings and/or night shifts. May be required to work on religious and/or legal holidays on scheduled days/shifts. The Encompass Health Way We proudly set the standard in care by leading with empathy, doing what's right, focusing on the positive, and standing stronger together. Encompass Health is a trusted leader in post-acute care with over 150 nationwide locations and a team of 36,000 exceptional individuals and growing! At Encompass Health, we celebrate and welcome diversity in our inclusive culture. We provide equal employment opportunities regardless of race, ethnicity, gender, sexual orientation, gender identity or expression, religion, national origin, color, creed, age, mental or physical disability, or any other protected classification. We're eager to meet you, and we genuinely mean that. Join us on this remarkable journey!

Bilingual Enrollment Officer

Educational Solutions Company Columbus, OH

Job Description Job Description Description: POSITION SUMMARY The Bilingual Student Enrollment Officer’s principal duty will be to increase student enrollment. Related duties include improving student achievement by promoting parent and community involvement in the education process; providing information on services available to eligible students and families; conveying information regarding school and/or district activities and procedures; and referring families to other agencies. The enrollment officer will be responsible for recruiting, enrolling, completing enrollment applications, handling documentation, collecting information, and providing customer service, while being a resource to the families. Incumbents in this classification provide support to fiscal department, students and teachers which directly augments learning and fiscal stability. QUALIFICATIONS SKILLS are required to perform single, technical tasks with a need to occasionally upgrade skills to meet changing job conditions. Specific skills required to satisfactorily perform the functions of the job include having the ability to build strong and trusting relationships with families and business/community partners. The operation of standard office equipment, using pertinent software applications, and preparing and maintaining accurate records are job requirements. Must be able to gain the confidence and trust of others easily, follow through on commitments, and identifies and creates the processes necessary to get the job done. KNOWLEDGE of where potential K-12 students are recruited from, necessary marketing materials for recruitment, and where recruiting events are held and/or taking place. ABILITY to work with diverse individuals and/or groups; work with various data; and utilize specific job-related equipment. In working with others, problem-solving is required to identify issues and create action plans. To identify the company’s distinctive advantages; understand what unique capabilities we can offer; thoroughly understand the landscape in which you will operate. Specific abilities required to satisfactorily perform the functions of the job include adapting to changing work priorities; communicating with diverse groups; maintaining confidentiality; setting priorities; providing customer service; organization; and working as part of a team. FBI/BCII background check which meets Ohio Revised Code § 3319.39 et seq SCOPE OF JOB Essential Functions Promote, recruit, and enroll potential students to our various campuses. Host and facilitate enrollment meetings with potential families and community leaders. Develops relationships with childcare facilities to promote enrollment of new students. Maintain a database of student/parent contacts and volunteers for the purpose of documenting and/or providing reliable information. Organizes various activities (e.g., presentations, forums, volunteer opportunities, etc.) to support the school and parents, showcase students’ talents and abilities, and celebrate the community's diversity. Participates on a variety of committees/boards (e.g., Student Intervention Committee, Race/Human Relations Committee, Community Prevention Board, etc.) for the purpose of receiving and/or conveying information to promote parent and community involvement in the educational process. Recruits parent volunteers for the purpose of assisting teachers in classroom activities. Communicates with parents on behalf of the school for the purpose of ensuring that an ongoing partnership between the home and school is formed, and language barriers are removed. Confers with teachers, parents, and /or appropriate community agency personnel for the purpose of assisting in the evaluation of student’s progress and/or making appropriate referrals. Contacts parents at their homes for the purpose of obtaining information about students, which helps teachers and providing information to parents about the school and its policies and programs. Coordinates with community leaders and organizations for the purpose of building resources and expanding program capabilities. RESPONSIBILITIES Leadership Skills, Attributes, and Professional Competences Work as part of a team Deal sensitively with people, recognize individual needs, and take account of these in securing a consistent team approach to raising standards. Acknowledge and utilize the experience, expertise, and contribution of others. Willingly take part in professional development activities outside of normal school hours Decision-making skills Judge when to make decisions, when to consult with others, and when to seek advice from the administration. Analyse, understand, and interpret relevant information and data. Relevant information and data. Think creatively and imaginatively to anticipate and solve problems and identify opportunities. Communication Skills Prioritise and manage their own time effectively, particularly in relation to balancing the demands made by the different areas of their job specification and their involvement in whole-school development. Achieve challenging professional goals. Take responsibility for their own professional development. Personal Qualities High level interpersonal and emotional intelligence skills Hard working, reflective and self-critical. A self-starter with a good professional grip. Personal and professional integrity. Good sense of humor and purpose of perspective. Determined resilient, calm, and controlled. Working under limited supervision using standardized practices and/or methods; Utilization of resources from other work units is often required to perform the job's functions. There is some opportunity to impact the Organization’s services. § Handling questions, and issues and providing detailed information on requirements, processes, and policies. § Collecting information and qualifying candidates for programs, services, or courses. § Ensuring that applications are completed correctly and that the required supporting materials have been provided. § Entering, updating, and reviewing data and records. § Providing guidance and recommendations to applicants and prospective candidates. § Corresponding with applicants and prospective candidates. § Processing enrollments and dis-enrollments. Working Conditions may include: Usual and customary methods of performing the job's functions require the following physical demands: some lifting, carrying, pushing, and/or pulling; some stooping, kneeling, crouching, and/or crawling; and significant fine finger dexterity. Generally, the job requires sitting, walking, and standing. The job is performed under a generally high-stress, hazard-free environment Mental Demands/Physical Demands/Environmental Factors: Maintain emotional control under stress. Work with frequent interruptions. Occasional district-wide travel; occasional prolonged and irregular hours. Frequent walking, some stopping, bending, reaching, and stairs. Some exposure to very hot or cold weather. Frequent local travel. Requirements:

Advancement Officer

Make A Wish OH KY IN Columbus, OH

Job Description Job Description Position Summary The Advancement Officer is responsible for executing fundraising strategies that generate revenue for Make-A-Wish Ohio, Kentucky and Indiana as directed by the Advancement leadership, and following our Chapter-wide Advancement, Marketing and Community Engagement plans. Essential Job Functions Solicit, secure and steward donors to the organization to achieve goals (individual, team & chapter-wide) for revenue-advancement. Advance relationships through careful and consistent management of a portfolio of high-potential donors and prospects. Track progress toward revenue goals and job-related expenses through proper and consistent use of the database (Salesforce) and chapter-specific forms and processes. Effectively stewards existing donors with regular value-added contact. Uses communication touchpoints as a tool to deepen relationships and increase future giving. Conduct smart, effective follow-up after meetings. Provide a customized on-going donor experience with the highest level of customer service that is clear, prompt, thorough, and forward focused. Works cooperatively with internal support teams to pursue new donors, manage portfolio data effectively and create sponsorship opportunities. Leverages our current constituents to find new potential supporters. Builds and maintains relationships effectively both internally and externally. Use discretion and independent judgement with reasonable latitude to negotiate and/or make decisions [related to donor relations], which may financially impact the organization in substantial ways. Support strategy and execution of chapter events by identifying and securing attendees or sponsors Connect new donor prospects and major gift leads with the appropriate staff and volunteers. Act as support for new employees regarding adherence to processes, fundraising guidance, and day to day office activities. Core Competencies Reliable - As reliable employees, we are consistently kind and respectful. We earn the confidence and trust of those we work with. We navigate our work with honesty and integrity by being accountable for the commitments we make. Communicator -We own our roles as communicators by being authentic and consistent in our communications with each other. We foster open dialogue and encourage giving and receiving feedback. We share respectfully and listen carefully. Inclusive- We are employees who strive to be inclusive, we invite the perspectives and insights others share. We value collective problem-solving and the shared success of every member of the chapter team toward our common goals. Humble- Humble employees seek to continuously become more self-aware and assume best intentions in others. We are willing to consider how we show up to our work, seek clarity from others, and take responsibility for our words and actions. Planful- We show respect for our work and others by being planful. We are organized in the management of our daily work. We are on time and prepared for meetings. And we embrace changes that create more effective and efficient ways to work together. Energetic- We are excited about working with others who believe in the future of our chapter and take our functional and cultural roles seriously. We are resilient and supportive of each other through wins and challenges. Qualifications Bachelor’s degree preferred 3-5 years work experience, with 2 years or more proven experience in fundraising or revenue generation. Excellent communication and customer service skills. Able to successfully work in a collaborative, team-oriented organization. Ability to motivate and support a diverse constituency in a team-oriented atmosphere. Flexibility to travel overnight up to 20% of the time. Physical Demands While performing this job, employees may be required to talk, stand or sit for long periods of time, walk, climb stairs, key data, stoop, twist, bend, crawl, speak and hear. Employees may drive a motor vehicle and may be required to travel during business hours. Person must also be able to move/lift up to 20 pounds. While performing this job employee is exposed to weather prevalent at the time with varying noise levels. Reasonable accommodations may be made to enable a person with disabilities to perform the essential functions. Disclaimer The above statements are intended to describe the general nature and level of work being performed by people assigned to this position. They are not to be construed as an exhaustive list of all responsibilities, duties, and skills required. All personnel may be required to perform duties outside of their normal responsibilities from time to time, as needed.

Best Match

Chief Compliance Officer

Confidential Columbus, OH

Chief Compliance Officer About the Company Well-established independent financial planning & investment advisory firm Industry Financial Services Type Privately Held About the Role The Company is seeking a Chief Compliance Officer to join their team. The CCO will be a key leader, responsible for managing all regulatory compliance matters and executing the firm's compliance program. This hands-on role involves providing the necessary leadership, management, and vision to ensure the firm adheres to compliance protocols and has the operational controls and procedures in place to support its growth. The ideal candidate will have a minimum of 10 years' RIA compliance experience, a Bachelor's degree (advanced degree preferred), and a deep knowledge of SEC rules and regulations. They should also be familiar with Finra and ERISA rules, and possess superior management, writing, communication, and technology skills.Key responsibilities for the Chief Compliance Officer include overseeing the firm's compliance program, leading the internal compliance team, and working with external service providers. The CCO will be tasked with developing and implementing policies and procedures to ensure compliance with all relevant laws, as well as maintaining documentation and overseeing regulatory filings. Regular compliance assessments, risk management, and collaboration with all departments to resolve compliance issues are also essential. The successful candidate will be expected to stay current on regulatory changes and work with external legal counsel as needed. An active and valid Series 24, 7, 4, 53, and 66 is highly preferred, and the role requires a professional who can exhibit accountability and leadership in all compliance functions. Travel Percent Less than 10% Functions Finance

Chief Compliance Officer

Confidential Columbus, OH

Chief Compliance Officer About the Company Leading pharmaceutical Industry Pharmaceuticals Type Privately Held About the Role The Chief Compliance Officer will be responsible for establishing healthcare programs, providing comprehensive compliance advice, and supporting strategic initiatives. Travel Percent Less than 10% Functions Legal Known Requirements Bachelor’s degree in law required At least 15 – 20 years' healthcare compliance experience required Certification in compliance and ethics required Exceptional communication and collaboration skills required

Chief Compliance Officer (CCO)

Confidential Columbus, OH

Chief Compliance Officer (CCO) About the Company Flourishing hospitality company Industry Hospitality Type Privately Held About the Role The Company is seeking a Chief Compliance Officer (CCO) to join their team and play a pivotal role in fostering a culture of compliance. The CCO will be responsible for developing and implementing comprehensive compliance programs, policies, and procedures to ensure adherence to all relevant laws, regulations, and industry standards. This includes conducting regular compliance risk assessments, monitoring regulatory changes, and providing guidance to business units on compliance matters. The successful candidate will also be tasked with creating and delivering compliance training, maintaining effective reporting channels, and serving as the primary contact for compliance-related issues with external parties. Applicants for the CCO position at the company should have a Bachelor's degree in a related field, with an advanced degree or professional certification preferred. A minimum of 3 years' experience in compliance management or a similar role is required, along with in-depth knowledge of relevant legal and regulatory frameworks. The role demands strong leadership, communication, and problem-solving skills, as well as a commitment to ethical conduct and integrity. The CCO will be expected to promote a culture of compliance and accountability, working closely with senior leadership to uphold the highest standards of ethical behavior across the organization. Travel Percent Less than 10% Functions Marketing Sales/Revenue Business Development

Columbus, OH

Posted 2 days ago

Financial Services

Job Description

Chief Compliance Officer

About the Company

Well-established independent financial planning & investment advisory firm

Industry Financial Services

Type Privately Held

About the Role

The Company is seeking a Chief Compliance Officer to join their team. The CCO will be a key leader, responsible for managing all regulatory compliance matters and executing the firm's compliance program. This hands-on role involves providing the necessary leadership, management, and vision to ensure the firm adheres to compliance protocols and has the operational controls and procedures in place to support its growth. The ideal candidate will have a minimum of 10 years' RIA compliance experience, a Bachelor's degree (advanced degree preferred), and a deep knowledge of SEC rules and regulations. They should also be familiar with Finra and ERISA rules, and possess superior management, writing, communication, and technology skills.Key responsibilities for the Chief Compliance Officer include overseeing the firm's compliance program, leading the internal compliance team, and working with external service providers. The CCO will be tasked with developing and implementing policies and procedures to ensure compliance with all relevant laws, as well as maintaining documentation and overseeing regulatory filings. Regular compliance assessments, risk management, and collaboration with all departments to resolve compliance issues are also essential. The successful candidate will be expected to stay current on regulatory changes and work with external legal counsel as needed. An active and valid Series 24, 7, 4, 53, and 66 is highly preferred, and the role requires a professional who can exhibit accountability and leadership in all compliance functions.

Travel Percent Less than 10%

Functions

Finance