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

HIFON Group - Cleveland, OH

Full-time - Senior

Cleveland, OH

About the position

Gries Financial Partners is seeking a Chief Compliance Officer (CCO) to lead and enhance the firm's compliance program. This role is crucial for ensuring adherence to regulatory requirements and will involve managing compliance functions in-house, as the company transitions from an outsourced model. The position can be performed remotely with quarterly visits to the Cleveland office, making it flexible for the right candidate.

Responsibilities

• Review, enhance and maintain the firm's compliance program and keep up with regulatory changes
• Manage SEC and other regulatory examinations
• Handle regulatory filings including updating ADV/U4
• Conduct compliance training
• Review and test the firm's policies and procedures
• Review and approve marketing materials

Requirements

• 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 report

Benefits

• Competitive compensation package, based on experience
• Medical insurance, including dental and vision plan
• 401(k) plan with company match
• Paid time off