Job Description

Job Description

Job Description

The Company:

At The Millstone Evans Group , we firmly believe in connecting with clients in a clear, personal way that differentiates us from the jargon-filled, impersonal nature of many financial advisor firms. Our approach centers on removing the barriers to financial planning that many often experience. We do whatever it takes to make sure our clients feel very comfortable in a world that doesnt often feel comfortable. Smart planning for all life stages. Thats another motto we live by. Life is full of transitions, some of them unexpected. When we work with you as a client, we focus on building a strong relationship based on mutual respect and close communication, understanding your goals and providing a tailored plan to meet them.

The Position :

The Chief Compliance Officer at The Millstone Evans Group will play a pivotal role in overseeing compliance efforts and managing regulatory relations for the firm. This position involves collaborating with various departments and leadership to develop and maintain robust compliance policies and procedures, as well as overseeing the design and execution of the firms compliance program, including conducting branch audits. Additionally, the CCO will provide guidance, mentorship, and ensure training efforts are aligned with organizational needs. They will also identify areas for improvement and implement necessary corrective measures to maintain regulatory standards.

Responsibilities:

• Compliance Program Development: Design and implement the firms compliance policies and procedures to ensure adherence to regulations
• Regulatory Monitoring: Stay up-to-date with SEC, FINRA, and other relevant regulatory bodies requirements and ensure the firm complies with the latest laws
• Branch Exams and Audits: Lead or coordinate branch office examinations and ensure corrective actions are taken if needed, serve as the point of contact with regulatory authorities, conduct periodic internal reviews or audits to monitor compliance with internal and external regulations
• Documentation Management: Maintain accurate records and documentation of all compliance activities for future audits or reviews
• Risk Management: Identify compliance risks and develop strategies to mitigate them
• Training and Education: Provide ongoing training to staff on compliance procedures, industry regulations, and ethical standards
• Reporting: Prepare and submit mandatory filings, disclosures, and reports to regulatory agencies
• Policy Oversight: Ensure the firms policies regarding AML, privacy, and other critical areas are up-to-date and enforced
• Ethical Guidelines: Develop, enforce, and ensure adherence to the firms code of ethics

Requirements:

• Previous general compliance experience, with most recent experience being within an RIA firm
• Previous experience as a CCO
• Experience overseeing regulatory exams and working with the examiners
• Compliance auditing experience
• Experience in managing, testing, monitoring and oversight of compliance policies
• SEC & FINRA experience, preferred
• IARD system knowledge, preferred
• ADV/U4 knowledge, preferred
• Experience onboarding advisors
• Experience with managing a team

Salary + Benefits:

• Competitive Salary BOE
• Medical, dental, vision, life and disability insurance coverage
• 401k plan
• Full-time, in-office position in the Boulder branch

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