CP Enterprises LLC Hiring for Investment Advisor Compliance Manager Job at Remote Full Time

Investment Adviser Compliance Manager

Valor Capital Management (Valor) and Prosperity Capital Advisors (PCA) are seeking a highly focused and experienced Compliance Manager to drive initiatives related to compliance and business risk, including compliance program testing activities to ensure effective policies and procedures. The ideal candidate should have a broad-based understanding and experience in managing all compliance requirements for SEC registered investment advisers having a strong command of FINRA and SEC rules and regulations. The Compliance Manager will report to the Chief Compliance Officer. Along with the President and other executives, he/she will be responsible for maintaining a strong culture of compliance throughout the company.

Responsibilities

· Responsible for the development and implementation of compliance policies and procedures.

· Monitor business practices in accordance with U. S. Federal and state laws, rules, and regulations, including the rules and regulations of the Securities and Exchange Commission, FINRA, internal policies, and industry best practices.

· Conduct targeted training on PCA and Valor rule requirements.

· Launch, participate in and/or lead working groups to ensure proper development and enhancement of Valor/PCA compliance framework.

· Demonstrated ability to analyze new regulatory frameworks and understand the compliance issues involved.

· Develop and perform various testing activities, including GIPS testing

· Enforce written supervisory and compliance procedures pertinent to asset management and retail businesses.

· Review and investigation of actions that trigger flags in various review systems.

· Conduct due diligence on products and services.

· Serve as an overall resource for Compliance and foster a success-oriented, accountable environment within the Compliance department.

· Assist on special projects and ad hoc assignments.

The above areas of responsibilities are not exhaustive and may continue to evolve.

Educational Background and Licensing

· Bachelor’s degree or higher

· 8+ years experience in an SEC regulated RIA, and/or FINRA broker dealer

· Must be proficient in knowledge of all Investment Advisers Act of 1940 rules and regulations

· Ability to work in a team-based environment, possessing confidence in decisions

· Series 65, Series 7 and 24 (or equivalent) preferred

C2P Enterprises, LLC – Four Companies. One Vision.

C2P Enterprises is a holding company of four distinct brands that simplify financial planning for advisors and the clients they serve. The companies combine to offer education, training, resources, tools and an array of investment and insurance vehicles to meet each client’s unique financial situation and goals. They are committed to best interest practices and raising industry standards for a higher quality of holistic financial planning services to family’s nation-and world-wide.

Prosperity Capital Advisors, LLC

Prosperity Capital Advisors (Prosperity) is a holistic planning-based SEC-registered investment adviser (RIA) providing independent investment advisor representatives (IARs) with a connected ecosystem which integrates financial planning, investment & insurance solutions, technology, marketing, compliance, and operations into one complete platform to help entrepreneurial advisors scale their business and meet the unique needs of their clients.

Valor Capital Management, LLC

Valor Capital Management (Valor) is an SEC-registered investment adviser firm operating as a Turnkey Asset Management Program (TAMP). It has aligned with world-class investment managers to provide registered investment advisors an investment platform of core and satellite strategies to meet the unique needs of their advisors and clients. By providing strategic active management through a diverse lineup of core model portfolios alongside a customizable satellite offering of unique niche investment strategies and solutions, Valor helps RIAs and their advisors navigate the right investment offering, blended portfolio design, and operational implementation to meet the unique needs of their clients.

Clarity 2 Prosperity, LLC

Clarity 2 Prosperity (Clarity) is a financial training, coaching, mentoring, and process development organization that helps advisors become holistic planners and service providers committed to simplifying the financial planning process and improving the financial lives of American families.

Clarity Insurance Marketing LLC

Clarity Insurance Marketing is a fiduciary-friendly insurance marketing organization that facilitates product screening, selection and support for fixed and fixed indexed annuities, single premium immediate and deferred-income annuities.

Job Type: Full-time

Pay: $110,000.00 – $125,000.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Employee assistance program
• Health insurance
• Life insurance
• Paid time off
• Vision insurance

Schedule:

• 8 hour shift

Experience:

• Supervision: 5 years (Required)

Work Location: Remote