Chief Compliance Officer, Florida

Position Overview:

Our Client is seeking a dedicated professional to serve in a dual capacity as Chief Compliance Officer and Portfolio Administrator. This role is pivotal in ensuring the firm's adherence to regulatory standards while maintaining efficient portfolio operations. The ideal candidate will possess a strong understanding of SEC regulations, particularly the Investment Advisers Act of 1940, and demonstrate proficiency in portfolio administration within an RIA setting, with specific expertise in Advent Portfolio Exchange (APX) products. A high degree of confidentiality, integrity, and trustworthiness is essential for success in this role.

Notably, the Chief Compliance Officer will have the support of an external compliance administrator to assist with the development, implementation, and management of the firm's compliance program.

Key Responsibilities:

Compliance Oversight:

Develop, implement, and manage the firm's compliance program in accordance with SEC regulations, including Rule 206(4)-7 of the Investment Advisers Act of 1940.

Monitor regulatory changes and ensure timely updates to policies and procedures.

Conduct regular compliance training sessions for staff to promote a culture of compliance and ethical conduct.

Oversee the preparation and filing of regulatory documents, including Form ADV, Form PF, and other required filings.

Act as the primary liaison with regulatory bodies during examinations and audits.

Maintain comprehensive records of compliance activities and decisions.

Collaborate with the external compliance administrator to ensure the effectiveness and efficiency of the compliance program.

Portfolio Administration:

Oversee the onboarding and maintenance of client accounts, ensuring accurate completion of all necessary documentation.

Execute and confirm trades as directed by advisors, ensuring timely and accurate settlement.

Monitor client accounts for asset allocation, cash needs, and compliance with investment guidelines.

Prepare performance reports and support quarterly/annual client review processes.

Assist in account onboarding, transfers, and maintenance tasks.

Maintain and reconcile client investment accounts across custodians (e.g., Schwab, Fidelity).

Qualifications:

Bachelor's degree in Finance, Business Administration, or a related field; advanced degree or relevant certifications (e.g., IACCP ) preferred.

Minimum of 5 years of experience in compliance and portfolio administration within an RIA or similar financial services firm.

Comprehensive knowledge of SEC regulations, including the Investment Advisers Act of 1940.

Proficiency in portfolio management software, with specific expertise in Advent Portfolio Exchange (APX) products.

Strong analytical, organizational, and communication skills.

Demonstrated ability to handle sensitive information with the utmost confidentiality and integrity.