Deputy Chief Compliance Officer - Remote

When you ask people what gives them peace of mind to live their best life, having a sense of financial security is usually at the top of the list. Our financial services include employer-based benefits like retirement planning so employers can help their people plan for a comfortable life after they stop working. We also provide personalized financial planning and investment services to help families succeed in every stage of life.

Our Newest Opportunity:

Summary:

This role is responsible for assisting in the development, implementation, and administration of all aspects of the firm’s Compliance Program, including the supervision of one or more Compliance Team members who are responsible for performing ongoing compliance monitoring, assessment and/or remediation.

Essential Duties and Responsibilities:

• Work closely with the Chief Compliance Officer to continue the ongoing development of the Firm’s comprehensive compliance program and to proactively administer and maintain it.
• Represent the Compliance Department on various cross-functional project teams and ensure that appropriate compliance guidance and resources are provided/allocated to adequately support the completion of the teams’ goals.
• Be responsible for managing and completing “Compliance Projects” as assigned by the Chief Compliance Officer, which will continually vary based on existing needs and ongoing risk assessments of the firm and its operations.
• Be responsible for developing, maintaining and updating the Compliance Department’s written standard operating procedures.
• Oversee and conduct internal investigations into compliance violations.
• Perform regulatory and other research when and as necessary in order to resolve issues and determine the appropriate course of action; coordinate with legal counsel to draft written memorandums and briefs for various internal stakeholders with respect to such matters.
• Prepare clear and concise reporting on assigned Compliance Projects to the Chief Compliance Officer, highlighting potential areas of concern and offer recommended strategies and/or solutions.
• Help foster a culture of compliance within the organization where employees are encouraged to ask questions and raise concerns without fear of retaliation.
• Supervise one or more Compliance Team members who have been assigned and are responsible for various compliance functions. Provide coaching and mentoring, as necessary, to Compliance Team members under supervision and be responsible for their performance management.
• Stay current on relevant regulations and industry best practices.

Qualifications, Skills and Requirements:

• Strong understanding of the Investment Advisers Act of 1940, the Employee Retirement Income Security Act of 1974 (ERISA), and the Gramm-Leach-Bliley Act (GLBA / Regulation S-P) and other federal securities laws.
• Self-motivated with a commitment to excellence and a high level of integrity.
• Proficiency with Microsoft Word, Excel and PowerPoint as well as Adobe Acrobat.
• Have a high attention to detail, be process oriented and have the ability to think creatively.
• Have excellent time management and organizational skills with the ability to adjust priorities quickly in response to unanticipated events.
• Have a strong understanding of fiduciary governance principles and the ability to identify and evaluate conflicts of interest.
• Ability to adapt to a rapidly changing business and technology environment.
• Continual learner mentality with the ability to implement new solutions.
• Ability to clearly and concisely articulate and present ideas, opinions, and information, orally and in writing.
• Have excellent interpersonal skills and the ability to collaborate effectively with others and maintain a professional and objective demeanor even during adversarial and/or confrontational situations.

Education, Training and Experience:

• Bachelor’s Degree from an accredited institution required.
• Current admission in good standing to the State Bar of at least one U.S. state required.
• Minimum of 10 years of regulatory compliance experience in the securities industry, including a minimum of 5 years in the Compliance department of a Registered Investment Adviser or as a Compliance Examiner for the U.S. Securities and Exchange Commission (SEC) required.
• Minimum of 3 years of supervisory experience required.
• Experience with MyComplianceOffice, Smarsh, Salesforce and Orion preferred.
• Previous experience with custody surprise verifications under Rule 206(4)-2(a)(4) preferred.
• Previous experience with GIPS® compliance and GIPS® verifications preferred.
• Programming and Database experience (e.g., Python, SQL) preferred.
• Valid FINRA Series 24 License preferred.
• Current Certified Regulatory and Compliance Professional (CRCP), Investment Adviser Core Compliance Program (IAACP), and/or Certified Securities Compliance Professional (CSCP) designation preferred.

The typical base pay range for this role nationwide is $260,000 to $270,000 per year.

Your base pay is dependent upon your skills, education, qualifications, professional experience, and location. In addition to base pay, some roles are eligible for variable compensation, commission, and/or annual bonus based on your individual performance and/or the company’s performance. We also offer eligible employees health, wellbeing, retirement, and other financial benefits, paid time off, overtime pay for non-exempt employees, and robust learning and development programs. You will receive reimbursement of job-related expenses per the company policy and may receive employee perks and discounts.

To learn more, visit: www.onedigital.com/careers

OneDigital is an equal opportunity employer. Not only as a matter of standard, but to honor and celebrate our differences. We believe that the power of ONE starts with you. We are committed to cultivating and preserving a culture that celebrates diversity, insists on equity and inclusion, and connects us. Ensuring our people feel seen, valued, respected, and supported is fundamental to our core values and business goals.

OneDigital provides equal employment opportunities to all employees and applicants for employment regardless of their: veteran status, uniformed servicemember status, race, color, religion, sex, sexual orientation, gender identity, age (40 and over), pregnancy (including childbirth, lactation and related medical conditions), national origin or ancestry, citizenship or immigration status, physical or mental disability, genetic information (including testing and characteristics) or any other category protected by federal, state or local law (collectively, “protected characteristics”). A copy of the Federal EEO poster is linked here.

Pursuant to local Fair Chance Ordinances, we will consider qualified applications with arrest or conviction records for employment. For applicable candidates, the following ordinances are linked here to inform you of your rights as an applicant:

City and County of San Francsico

City of Los Angeles

County of Los Angeles

Employment decisions shall comply with all other applicable federal, state and city/county laws prohibiting discrimination in employment. OneDigital complies with all criminal history inquiry [or ‘ban the box’] laws in California, Connecticut, Colorado, Hawaii, Illinois, Maine, Maryland, Massachusetts, Minnesota, New Jersey, New Mexico, Oregon, Rhode Island, Vermont and Washington.

In short, we believe in hiring the most qualified applicant for the position, regardless of background.

If you have questions about our hiring policies and practices, we would be happy to discuss upon receiving your application. We hope to welcome you to OneDigital and look forward to hearing from you.

OneDigital understands the immense responsibility and opportunities provided by Artificial Intelligence. We utilize advanced Artificial Intelligence [AI] technologies to enhance our recruitment process. This includes using AI to filter candidates based on their qualifications and to rediscover potential candidates from our existing applicant pool. Our AI systems help us efficiently identify the best fit for our open positions, ensuring a streamlined and effective hiring experience. However, AI does not replace the humans in our process. If you have concerns about our use of AI, you may opt out where laws allow.

Thank you for your interest in joining the OneDigital team!