Compliance Officer
Department: Support Team
Location: Ohio
The compliance officer of the firm assists the CCO in identifying and mitigating potential internal and external conflicts and risks to our organization, maintaining critical compliance infrastructure, and becoming a subject matter expert to compliance rules and regulations related to an SEC-registered investment advisor. The compliance officer will be in charge of maintaining the firm’s compliance and reporting system as well as the annual compliance calendar. Additional responsibilities may include, but are not limited to: reviewing/approving marketing and advertising materials, assisting the executive leadership team on matters involving compliance, and developing proactive processes that affirm that company’s compliance regulations are being followed.
