Gries Financial Partners (Cleveland, OH or Remote) Seeking Chief Compliance Officer (CCO)

Company: HIFON Group
Location: Cleveland
Posted on: November 13, 2024

Job Description:

Gries Financial Partners (Cleveland, OH or Remote) Seeking Chief Compliance Officer (CCO)February 29, 2024Gries Financial Partners (GFP) Seeking Chief Compliance Officer (CCO)GFP is an independent, fee-only RIA founded in 1978. We are headquartered in Cleveland, OH with AUM/AUA of approximately $1.5 billion. We currently have outsourced the CCO role and would like to bring this function in-house. This can be a remote (with quarterly visits to Cleveland office) or hybrid position for the right candidate.Main Responsibilities:

• Review, enhance and maintain firm's compliance program and keep up with regulatory changes
• Manage SEC and other regulatory examinations
• Regulatory filings including updating ADV/U4
• Compliance training
• Reviewing and testing firm's policies and procedures
• Review / approve marketing materialsRequirements:
  • Prior relevant experience working for a similar-sized RIA in a CCO or senior compliance role
  • Experience overseeing SEC and other regulatory exams
  • Experience with all regulatory filings with IARD system knowledge
  • Ability to be a one-person compliance team (with support from outside compliance consultant and legal counsel)
  • Ability to take a balanced view on compliance matters, balancing compliance as well as business requirements
  • Industry certification (or 5+ years of experience as a CCO at a similar RIA)
  • Clean BrokerCheck / background check reportSalary and Benefits:
    • Competitive compensation package, based on experience
    • Medical insurance, including dental and vision plan
    • 401(k) plan with company match
    • Paid time offAPPLY NOW: Send your resume, reason for looking for a new role and US citizenship status to hemal@gries.com
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Keywords: HIFON Group, Lakewood , Gries Financial Partners (Cleveland, OH or Remote) Seeking Chief Compliance Officer (CCO), Executive , Cleveland, Ohio