Chief Compliance Officer Investment Advisor (CCO IA)
AIG Life Retirement has an opportunity for an Investment Adviser Chief Compliance Officer in Atlanta, GA. The high-performing professionals we serve rely on the resources we offer as a part of one of America's largest networks of independent financial advisers. Our customer-driven approach is focused on meeting the unique demands of businesses.
Performance objectives in this position are as follows:
* Responsible for compliance with SEC rule 206(4)-7 of the Investment Advisers Act of 1940, FINRA rules, state securities laws, and related securities/ERISA/insurance regulations for all Corporate Registered Investment Advisers within Advisor Group.
* Work closely with senior business management, marketing, operations, sales support, supervision, internal and external auditors; interact as needed with state and federal regulators in relation to investment adviser matters.
* Manages all aspects of investment advisory compliance for several SEC registered investment advisers also dually registered as broker-dealers, all of which are part of AIG Advisor Group, as well as working with numerous independently registered investment advisors associated with the firm.
* Implements and maintains the firm's investment adviser policies and procedures.
* Responsible for the day-to-day management of Investment Advisor (IA) Compliance Program, which includes:
o IA Surveillance;
o Review of ADV parts 1 and 2, including wrap fee brochures and ADV 2B's for all advisers;
o Consulting with Independent Investment Adviser Representatives;
o Management of Financial Planning program;
o Management of Non-discretionary services program;
o Oversight of third party money manager program;
o Oversight of the firm's Wealth Management Program
* Help to limit the firm's regulatory and reputation risk and reinforce the firm's culture of compliance.
* Interacts with the BD Advisory board members and communicates upcoming policy changes as needed.
* Member of the Investment Advisory Board.
* Serves as a member of the Compliance Leadership
Team whose responsibilities include drafting new firm policies and procedures prior to vetting with the Senior Leadership Team.
* Responsible for managing all IA Regulatory Exams (SEC or State)
* Provide back-up support to other compliance team members, and responsible for numerous other duties as required.
*10+ years compliance experience focusing on retail investment adviser matters for dually registered investment adviser/broker-dealer entities.
* Extensive knowledge of state, and federal securities laws, related ERISA/insurance regulations.
* In depth knowledge of retail investment advisory operations, services, and products.
* Experience with designing and conducting formal and informal training sessions.
* Experience managing staff.
Education/Certifications:
* Bachelors degree required.
* Advanced degree such as a law degree or compliance certifications preferred.
* Series 7, 24 and 65/66 preferred.
* Ability to create, prepare and issue periodic and special compliance exception reports.
* Ability to formulate and implement strategies and drive solutions to complex issues.
* Positive hands-on attitude and ability to work well in a team and exhibit strong leadership capabilities.
* Motivated and adaptable; able to respond creatively and quickly in a fast-paced environment.
* Ability to manage client expectations and competing priorities.
* Previous exposure dealing with an independent field force and senior management.
Must possess the following:
* Research skills.
* Excellent oral and written communication and influencing skills.
* Organizational and time management skills.
* Project management capabilities.
* Attention to detail.
* Service orientation.
* MS Office including Word, Excel, Access, Power Point.
About AIG
American International Group, Inc. (AIG) is a leading international insurance organization serving customers in more than 130 countries and jurisdictions. AIG companies serve commercial, institutional, and individual customers through one of the most extensive worldwide property-casualty networks of any insurer. In addition, AIG companies are leading providers of life insurance and retirement services in the United States.
AIG Property Casualty is a global market leader, one of the few truly global property casualty franchises.
AIG Life and Retirement is one of the largest life insurance organizations in the U.S., and provides protection, investment and income solutions needed for financial and retirement security.
United Guaranty Corporation is the marketplace leader in mortgage insurance in the U.S.
Additional information about AIG can be found at www.aig.com | YouTube: www.youtube.com/aig | Twitter: @AIG_LatestNews | LinkedIn: www.linkedin.com/company/aig
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