Director Of Compliance

Company: Summit Global Investments
Location: Bountiful
Posted on: February 25, 2021

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