Chief Compliance Officer

The Chief Compliance Officer is responsible for overseeing, developing, and enhancing the firm’s compliance program, ensuring adherence to applicable laws, regulations, and internal policies by designing, implementing, and monitoring systems to identify and mitigate compliance risks, while also educating employees and promoting a culture of ethical conduct. The CCO reports directly to the Chief Financial Officer | Chief Operating Officer and plays a key role in strategic decision-making related to compliance matters.  

Position Responsibilities:

Compliance Program Oversight and Development

• Creates comprehensive policies and procedures, in conjunction with outside legal counsel, to address relevant regulations and internal guidelines, including anti-money laundering, data privacy, cybersecurity, DOL, and securities laws. 
• Proactively identifies potential compliance risks, conducting regular audits and reviews to access compliance posture, and implementing corrective actions as necessary. 
• Monitors evolving legal and regulatory landscapes to proactively address new compliance requirements.
• Works closely with various departments, as well as outside legal counsel, to ensure the firm and its employees abide by new and existing regulations as well as firm policies.
• Conducts compliance training and educational training and educational programs for all new and existing employees as required.
• Disseminates information and advises staff regarding new and existing compliance laws and regulations.
• Provides regular updates on compliance department, including key risk areas and potential issues, to the CFO | COO and Management Committee.
• Maintains and enhances certain Sarbanes Oxley (SOX) controls and documentation to reflect the current regulatory environment. Ensures compliance with SOX through various testing.
• Participates in the annual review of Policy & Procedures, ADV, Compliance Program.
• Serves as the main contact with outside counsel for compliance.
• Manage compliance team members in accordance with established policies and procedures and provide oversight in the areas of hiring and professional development.

Compliance Adherence and Monitoring

• Responsible for regulatory filings including Form ADV Parts 1, 2A, and 2B, Form 13F; Assists with Form 13H filed on firm’s behalf by Focus Financial. Annual and interim filings with the Canadian Securities Administrators.
• Assists Counsel with employee U4 and U5 filings.
• Reviews account paperwork, particularly new account agreements, for quality control.
• Reviews, approves, and maintains trade error forms/logs and cancel/rebill forms.
• Responsible for reviewing Employee Trade Pre-Clearance Approvals.
• Reviews employee’s Social Media accounts via Global Relay and addresses improper communication.
• Oversees the proxy voting system.
• Reviews and maintains Correspondence (reviews letters, other client communications, and fee changes).
• Manages DOL requirements as they pertain to ERISA in conjunction with outside Counsel.
• Reviews compliance testing relative to Compliance Program.
• Perform other job-related duties as assigned or needed.

Requirements

• Bachelor’s degree in business or a related field is required.  Juris Doctorate is a plus.
• 7+ years of related work experience in the wealth management/investment advisory industry.
• 5+ years of experience as a Chief Compliance Officer or in similar progressively responsible compliance leadership role.
• Experience in securities industry compliance processes, procedures, and requirements.
• Strong aptitude and proficiency in technology solutions, including but not limited to Microsoft Office applications, portfolio management software, financial/accounting systems, etc.

In addition, the ideal associate will:

• Strong understanding of compliance rules and regulations.
• Strong understanding and in-depth knowledge of the financial services industry, especially investment/wealth management.
• Strong analytical and problem-solving skills.
• Strong interpersonal and collaboration skills.
• Ability to work effectively and proactively, both independently and as part of a team.
• Ability to liaison with all departments and develop effective relationships with co-workers.
• Ability to communicate effectively with a wide range of people in a professional manner using tact, courtesy, and good judgment, whether orally, written, or in a presentation.
• Ability to organize and prioritize multiple tasks with divergent needs, focusing on detail, to produce high quality results in high-pressure situations.
• Strong organizational/process management skills with the ability to prioritize work.
• Keen attention to detail
• Ability to maintain confidentiality.
• Innovative and creative thinking.
• Ability to use standard office equipment and learn and adapt to new office technology.
• Willingness to periodically travel to satellite offices, including Chicago and Louisville.

The above statements are intended to describe the general nature and level of work being performed by persons assigned to this job.  These statements are not intended to be an exhaustive list of all responsibilities, duties and skills required of personnel in this position.

Benefits

We offer:

• A Top Workplace winning culture built on teamwork, integrity, and diligence.
• An engaging work environment.
• Opportunity for professional growth and development.
• A hybrid work schedule.
• A competitive salary and eligibility for annual firm profitability/individual performance incentive.
• A comprehensive benefits package including medical, dental, vision, life, and long-term disability insurance, flexible spending accounts and the items listed below.
• 401(k) plan with match and profit-sharing contribution.
• Generous paid time off.
• Paid parental and medical leave.

Bartlett Wealth Management has 83 employees between its locations in Cincinnati, Chicago, and Louisville, and approximately $9.4 billion in assets under management as of December 31, 2024.

Bartlett is an Equal Opportunity Employer

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