Director of Compliance

| Greater Denver Area

Director, Compliance

 

Director of Compliance will report directly to the General Counsel and Chief Compliance Officer. This person will be integral to the compliance organization and will be responsible for implementing the compliance strategy for the company as well as oversee all aspects of the compliance function.

 

Responsibilities:

  • Oversee all components of the compliance program including but not limited to, timely and accurate regulatory reporting, maintenance of compliance manuals and consistent monitoring of risks and requirements.
  • Develop, implement, and manage all compliance-related documents (e.g., Compliance Manual, Disaster Recovery, Personal Security/Insider Trading, Privacy Policy, Code of Ethics).
  • Maintain policies and procedures to ensure that all operations of the firm are conducted in compliance with applicable regulations.
  • Assist with the review of existing controls and procedures and implementing changes as agreed upon with management.
  • Work with the CCO to maintain and manage the registration and filings for the firm and its personnel with the appropriate regulatory agencies (e.g., SEC, FINRA) and serve as the primary contact with regulators during exams and inquiries.
  • Update and maintain regulatory registrations (e.g., Form ADV Part I and II, State Notice Filings, Investment Advisor Representatives and Registered Representatives).
  • Assist the CCO to provide direct senior management and staff on all issues concerning compliance rules, regulations, and procedures. 
  • Conduct testing and monitoring of business activities, including the annual compliance audit, to ensure compliance with regulations and internal policies and procedures. 
  • Maintain thorough understanding of federal securities rules and regulations governing the investment advisory industry through ongoing education and involvement with industry groups. 
  • Liaise with General Counsel to provide ongoing advice in relation to implications of legislation and regulations affecting the business.
  • Manage the initial and ongoing training of the compliance program to all employees.
  • Assist with various client and vendor day-to-day operational support functions.

Requirements:

  • 10+ years of experience in risk, compliance, audit and/or relevant law (3+ years of supervisory experience).
  • BA/BS degree (econ, CS, finance or similar discipline preferred); MBA or JD preferred but not required.
  • Previous experience at a Registered Investment Advisory firm.
  • Deep understanding of compliance operations and significant SEC/FINRA experience; experience with state banking regulators also ideal.
  • An eye for detail, but a mind for strategy. Your job will daily move from 30,000 feet to microscopic review of first-of-their-kind policies and practices.
  • A refined, polished communication style that swiftly adapts to diverse audiences (from regulators to investors to engineering/product teams).
  • You take pride in mentoring and developing team members. You’ve managed a team of compliance professionals previously.
  • Interest and passion for maintaining an understanding of the new federal securities rules and regulations governing the investment advisory industry. 
     

 

 

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Location

Located in the heart of downtown Denver!

An Insider's view of Personal Capital

What are some social events your company does?

We tend to celebrate in big ways. Hitting milestones is exciting for any business, and at Personal Capital we've set aside time to rent out Lucky Strike or take the office out to a Rockie's game to celebrate our success. Our holiday parties are guaranteed to be a good time too!

Will

Sr. Recruiter

How do you collaborate with other teams in the company?

I work with and rely on Data Engineering to provide the data architecture needed for my analyses. I brainstorm promotion ideas with Sales, Marketing, and Product and track results in real-time. My insights and recommendations get presented to upper management to evaluate and implement, ultimately providing business intelligence using data.

Chris

Business Analyst

What are some things you learned at the company?

We want our employees to grow personally and professionally. At Personal Capital, you'll learn that clients always come first. We do all we can to help our clients fulfill their financial goals. That mentality spreads to every facet of your life, outside of work we try to better our community and we take pride in donating our time.

Jordan

Recruiter

How do you make yourself accessible to the rest of the team?

To make sure I'm regularly formally connecting with each member of my team, I schedule bi-weekly check-ins to see how they're feeling about everything from day-to-day challenges to long-term opportunities they want to tackle. In addition to that, we have an open work environment and I sit right in the middle of my team!

Danielle

Manager | Senior Financial Advisor

How would you describe the company’s work-life balance?

With 9 paid holidays, weekends off, and generous PTO, there's a lot of time to enjoy living in Denver. Our Team can be found hitting the slopes every weekend or playing kickball in the Summer.

Meghan

Director of Human Resources: Talent Acquisition, Development, and Retention

What are Personal Capital Perks + Benefits

Culture
Volunteer in local community
Friends outside of work
Eat lunch together
Intracompany committees
Personal Capital has an internal Charitable Giving Committee who help determine where our quarterly charitable donations will go. We also have a Women's Group that hosts periodic meet-ups!
Open door policy
Group brainstorming sessions
Open office floor plan
Health Insurance & Wellness Benefits
Dental Benefits
Vision Benefits
Health Insurance Benefits
Wellness Programs
Onsite Gym
Retirement & Stock Options Benefits
401(K)
401(K) Matching
Company Equity
Vacation & Time Off Benefits
Generous PTO
Paid Holidays
Paid Sick Days
Perks & Discounts
Commuter Benefits
Company Outings
Game Room
Stocked Kitchen
Happy Hours
Fitness Subsidies
Professional Development Benefits
Lunch and learns
Cross functional training encouraged
Promote from within
Paid industry certifications
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