Chief Compliance Officer

Reston, VA
May 20, 2019
May 24, 2019
Full Time
PagnatoKarp is an SEC Registered Investment Adviser (RIA), looking to hire a Chief Compliance Officer. As an RIA, PagnatoKarp is subject to the requirements of the Investment Advisers Act of 1940, in addition to other regulations and securities laws. The Chief Compliance Officer ("CCO") will oversee all aspects of the firm's compliance with these laws and regulations, will be responsible for fulfilling the day-to-day responsibilities of the compliance program, will foster a compliance culture, and will foster a culture of transparency in the firm while seeking to do the same in the industry overall. The CCO will also be responsible for ensuring the company's adherence to its TrueFiduciary (TM) Standards, and for being a champion externally for having these standards adopted more broadly in the investment management community. Primary Responsibilities Ensure the company conducts its business in compliance with all applicable laws, rules and regulations, and with its TrueFiduciary (TM) Standards. Act as a champion externally for these standards, leading others to adopt them in their practices. Demonstrate a proven ability to provide leadership around transparency in the firm and in the industry. Manage and administer all policies and procedures associated with the company's regulatory compliance program, including its cybersecurity program. Prepare and submit all required regulatory filings and disclosure documents in a timely and accurate manner. Monitor and test the firm's policies and procedures to determine the adequacy and effectiveness of the company's compliance program. Report results to the CEO, COO and CLO, and work with business units to implement improvements as required. Train advisory personnel on regulatory compliance matters to enhance understanding and awareness throughout the organization. Maintain systematic records of the company's compliance program in the event of an outside audit and/or regulatory examination. Use automation, dashboards and innovation to take the company's compliance to the next level. Use this innovation to change industry standards. Manage relationships with outsourced compliance partners. Interface with regulators, examiners and inside and outside legal counsel as matters pertain to job duties. Stay abreast of changing laws and regulations that affect the company's operations. Adjust the company's compliance program as required and communicate pertinent matters to the CEO, COO and CLO. Provide direction, education and support to the firm with respect to all legal, fiduciary and regulatory compliance activities. Qualifications & Characteristics 5+ years of hands-on regulatory compliance experience in the investment advisory industry. Bachelor's degree required; IACCP(R) designation strongly desired. Strong knowledge and understanding of the Investment Advisers Act 1940, ERISA, Dodd-Frank and other relevant regulations and laws that pertain to investors. Experience working in and/or dealing with the SEC. Experience in dealing with cybersecurity programs and vendor management a plus. Candidate should be self-motivated, confident and assertive, able to garner the respect of others and influence change at the Executive Committee level and throughout the firm. Excellent communication skills, both written and verbal, and an ability to interact with all levels of management and staff throughout the organization. Highly organized and attentive to detail. Ability to work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment - providing timely analysis and responses to requests in a rapidly changing environment. Excellent problem solving and negotiation skills. Highest standards of personal and professional ethics and integrity. Proficient in the use of Microsoft Office programs including Word, Excel, PowerPoint and Outlook. Equal Employment Opportunities PagnatoKarp extends equal job opportunities to all applicants and employees regardless of their race, color, religion, sex, sexual orientation, age, national origin, disability or veteran status. This Company policy affirms the Company's commitment to equal opportunity in the work place. All employment related decisions including, but not limited to, recruitment, hiring, promotion, termination, and compensation will be made without regard to an individual's race, color, religion, sex, age, national origin, disability, veteran status, or any other trait protected by law that is applicable to the Company.