1 Compliance Officer Job in Tulsa, OK
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Capital Advisors is Hiring a Compliance Officer Near Tulsa, OK
We endeavor to make a positive difference in people's lives by helping them achieve meaningful lifetime goals through investment management. We inspire peace of mind through a transparent and repeatable investment process and frequent communication. Founded in 1978, Capital Advisors provides wealth management and financial planning services to individuals and institutions. Our company is an employee-owned SEC Registered Investment Advisor with over $5 Billion in assets under management.
Transparency | Collaboration | Integrity | Commitment | Initiative | Innovation
Compliance Officer Position and Company Highlights:
Salary: $80,000 - $130,000 based on experience
Location: Tulsa, Oklahoma in office #LI-onsite
Schedule 8:00 AM - 4:30 PM Monday - Thursday, 8:00 AM - 3:15 PM Friday
Benefits: Annual bonus program, up to 6 weeks PTO, 90% employer paid medical insurance, 401k 100% match available first day, ESOP available first day, employer paid 2x annual salary life insurance
Purpose of Compliance Officer:
The Compliance Officer is an integral piece in the implementation and oversight of the Firms compliance program including education, training, and oversight. The Compliance Officer acts as a liaison with vendors, business partners, and employees on compliance-related issues.
Principal Accountabilities of the Compliance Officer:
- Collaborate with CCO on review and execution of the Compliance Program throughout the organization
- Coordinate education initiatives on matters of compliance and risk management
- Assist CCO in Compliance obligations regarding publicly traded Mutual Fund
- Responsible for new employee compliance education and onboarding
- Be an expert on Compliance Software (Orion Compliance)
- Independently carry out daily Compliance tasks to comply with regulatory requirements
- Carry out remote office inspections; requires limited travel
Building and Maintaining an Exemplary Professional Reputation:
- Develop and maintain relationships of trust with employees and partners
- Contribute to the community through active participation with civic and educational institutions.
- Maintain a standard of personal conduct professionally and socially to promote a personal reputation of integrity and technical competence.
- Willingness to obtain Compliance Certification, ie. IACCP
Requirements for the Compliance Officer:
- FINRA license Series 65 (required)
- Bachelors Degree (required)
Dimensions of Position of the Compliance Officer:
The Compliance Officer is part of the Compliance Team and therefore, responsible for the Firms compliance and risk management programs. The person in this position must be willing to collaborate seamlessly with numerous people with different roles within Capital Advisors. Attention to detail and clear communication skills are required. The highest level of integrity is expected at all times.
Job Summary
Full Time
$73k-98k (estimate)
03/17/2024
05/16/2024
capitaladvisors.com
CHARLOTTE, NC
25 - 50
1991
BEN CAMPBELL
$5M - $10M
Related Companies
About Capital Advisors
Capital Advisors Group, Inc. is an independent SEC-registered investment advisor specializing in institutional cash investments, risk management, and debt finance consulting. Our clients range from venture capital-funded startups and emerging growth companies to Fortune 100 companies. Drawing upon more than a quarter of a century of experience through varied interest rate cycles, the firm has built its reputation upon deep, research-driven investment strategies and solutions for its clientele. Capital Advisors Group manages customized separately managed accounts (SMAs) that seek to protect pri...ncipal and maximize risk-adjusted returns within the context of each clients investment guidelines and specific liquidity needs. Capital Advisors Group also provides FundIQ money market fund research; CounterpartyIQ aggregation and credit analysis of counterparty exposures; risk assessment on short-term fixed income securities and portfolios; and independent debt finance consulting services. Headquartered in metropolitan Boston, Capital Advisors Group maintains multiple U.S. regional offices.
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The job skills required for Compliance Officer include Initiative, Attention to Detail, Commitment, Integrity, Collaboration, Communication Skills, etc. Having related job skills and expertise will give you an advantage when applying to be a Compliance Officer. That makes you unique and can impact how much salary you can get paid. Below are job openings related to skills required by Compliance Officer. Select any job title you are interested in and start to search job requirements.
The following is the career advancement route for Compliance Officer positions, which can be used as a reference in future career path planning. As a Compliance Officer, it can be promoted into senior positions as a Compliance Specialist IV that are expected to handle more key tasks, people in this role will get a higher salary paid than an ordinary Compliance Officer. You can explore the career advancement for a Compliance Officer below and select your interested title to get hiring information.
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