Position Overview: The Chief Compliance Officer plays a critical role in providing leadership and guidance on compliant business solutions within Priority Financial Group. This executive-level position serves as a key member of the leadership team, ensuring adherence to SEC and state advisory rules and regulations across all jurisdictions where PFGA operates. The ideal candidate will demonstrate strong leadership skills, in-depth compliance knowledge, and a commitment to maintaining the highest standards of regulatory compliance.

Responsibilities:

• Provide strategic guidance and leadership on compliance matters, serving as a member of the executive leadership team.
• Monitor SEC and state advisory rules and regulations to ensure ongoing compliance with regulatory requirements.
• Ensure timely implementation of compliance guidance, completion of action plans, and effectiveness of internal controls and testing.
• Oversee training and awareness initiatives related to compliance issues and requirements.
• Develop and implement action plans to address regulatory inquiries, audits, complaints, investigations, and examinations.
• Coordinate the preparation and filing of regulatory forms, including Form ADV Parts 1, 2, and 3, and IARs’ Form ADV Part 2B.
• Stay current with SEC and state advisory rules and regulations, updating internal policies and procedures as necessary.

Qualifications:

• Minimum of 10 years of compliance experience in advisory compliance.
• Minimum of 5 years of managerial experience.
• Thorough understanding of the Advisers Act.
• Proficiency in filing databases and systems, including SalesForce and Orion.
• In-depth knowledge of advisory rules and regulations.
• Knowledge of broker-dealer rules and regulations is preferred.
• Strong understanding of reporting procedures and record-keeping.
• Methodical and diligent with outstanding planning abilities.
• Analytical mindset with the ability to navigate complex compliance matters.
• Excellent communication skills.
• Bachelor's degree.
• Series 24 and 65 or 66 are preferred.

Benefits:

• Competitive salary
• Comprehensive benefits package including health, dental, and vision insurance.
• Retirement savings plan
• Paid time off and holidays

Compensation:

Compensation for this position will be determined based on the candidate's knowledge and experience.

How to Apply:

If you are interested in joining our team and contributing to our mission of delivering exceptional client service, please submit your resume using easy apply on this job post.

Priority Financial Group is an equal-opportunity employer and values diversity in the workplace. We encourage individuals from all backgrounds to apply.

Thank you for considering Priority Financial Group as your next career destination. We look forward to reviewing your application!