Manager, Compliance (Cco)

Position Title: Manager, Compliance - (Chief Compliance Officer/Simplicity Wealth and Manager/Simplicity Group)

Reports to: Director of Compliance Simplicity Group/President Simplicity Wealth

Department: Compliance

Location: 3600 American Boulevard W, Bloomington, MN; in-office position

Classification: Full-time /Exempt

Summary / Job Objective:

The primary responsibility of the role is serving as the Chief Compliance Officer for Simplicity Wealth, a SEC Registered Investment Advisor. The Chief Compliance Officer is responsible for providing counsel and guidance related to the development, refinement, communication, and oversight of all facets of compliance. The role also involves acting as Manager, Compliance for the parent company (Simplicity Group) in which you will partner with Legal, HR and Finance to help create a world class ethics and compliance culture, with programs, policies, and procedures to drive compliance with the Company’s policies and applicable laws and regulations.

Essential Job Functions:

The CCO will be responsible for the development, direction and implementation of company-wide policies and procedures.

Primary Responsibilities:

· Leading a team and supervising the organization's compliance program with a strong emphasis on upholding professional and ethical standards

· Ensuring full compliance with the Investment Advisers Act of 1940 and all pertinent regulations

· Taking charge of the company's Code of Ethics, including the vigilance over conflicts of interest and personal trading activities

· Executing and overseeing the implementation of compliance program policies and procedures, integrating technological solutions as required

· Delivering comprehensive compliance training to team members, advisors and conducting assessments to evaluate program effectiveness

· Preparing and managing regulatory filings, including Form ADV, 13F, and other mandatory reports

· Evaluating third-party research and granting approval for research reports and other data generated by external sources

· Conducting trade surveillance and reviews of electronic communications

· Upholding cybersecurity and information security protocols and practices

· Assisting with legal affairs, encompassing fund formation, confidentiality agreements, and vendor contracts

· Review of marketing materials and other advertising submissions

· Develop a positive and supportive rapport with investment advisors and understand their securities practice

· Guiding the compliance team in a productive, professional way, the compliance team

Qualifications:

· A Bachelor's degree is a prerequisite; while a law or advanced degree is advantageous, it is not obligatory

· Series 7, 24 and 65 are strongly preferred

· A minimum of 8-years of experience in compliance within the financial services sector, preferably with a registered investment adviser

· A robust grasp of the Investment Advisers Act of 1940 and associated regulations

· This position requires full-time, in-office attendance

Competencies:

· Outstanding problem-solving and organizational proficiencies

· Effective communication skills

Compensation & Benefits:

Compensation (based on experience)

· Base salary: $120,000 - $130,000

· This is an Exempt position

· Annual performance bonus target: 20%

Benefits

• Employee benefits (medical, dental, vision, life insurance, other)
• 401k with employer match
• Paid Time Off
• Paid parking

Location: 3600 American Boulevard W, Bloomington, MN

This position may require limited travel.