Director Of Compliance
Company: Summit Global Investments
Location: Bountiful
Posted on: February 25, 2021
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Job Description:
Job descriptionWe are looking to hire a Compliance Director who
will be help shape our company's culture of 100% compliant and
ensure understanding of and compliance with various regulatory
agency requirements. This position is an opportunity to become an
integral member of Summit Global Investments senior team. As a
successful hire, you will be responsible for providing guidance to
our entire organization, evaluating and developing compliance
policies, planning and coordinating regulatory efforts,
communicating with all stake holders, and building awareness and
positioning for our company's procedures with the utmost integrity.
The selected candidate will have broad exposure and research into
agencies such as the SEC and FINRA. Familiarity with various
financial instruments including equities, mutual funds, separate
accounts, hedge funds, ETFs, private capital, hedge funds, etc.
This is a "hands-on" position where one will work to create the
material, policies and then coordinate with all outside
professionals and SGI team members.Responsibilities:-- Evaluating
and developing compliance policies and procedures-- Planning,
directing, and coordinating compliance efforts-- Communicating and
training centered around compliance-- Researching new (and "old")
regulations with respect to our products and services-- Building
brand awareness and positioning-- Coordinating projects from start
to finish-- Preparing for and handling various audits and mock
audits -- Coordinate and work with outside firms for GIPS, SAS70,
Legal, Public Relations, Marketing, press releases,
etc.Qualifications-- Bachelor's degree in business, marketing,
communications, or related field-- Proven compliance experience--
JD, MBA and/or CFA (or CFA candidate) is preferred-- Strong
interest and experience in financial markets is preferred--
Effective time management skills and the ability to multitask--
Strong writing skills (RFPs, DDQs, Questionnaires, etc.)--
Independent, Professional and Proactive work ethic-- Excellent
interpersonal, written and oral communication skillsCompensation
Package-- Competitive Salary - based on experience-- Excellent
benefits including medical, dental, vision and supplemental
insurance-- Yearly pre-funded HSA account-- 401(k) with match--
Opportunity for bonuses and potential for profit sharing
Keywords: Summit Global Investments, Bountiful , Director Of Compliance, Executive , Bountiful, Utah
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