Job Information
Matter Family Office Chief Compliance Officer in Dallas, Texas
THE FIRM
Family focused since 1990, Matter serves clients nationwide from our offices in St. Louis, Denver, and Dallas. Our associates combine Investment Management, Wealth Planning and Coordination, and Family Culture and Learning services to build solutions reflecting the needs, perspectives and objectives of each family. We encourage you to consult our website (www.matterfamilyoffice.com (http://www.matterfamilyoffice.com)) to learn more about how we are reshaping the way families manage their wealth.
YOUR QUALIFICATIONS:
More than 10 years of experience in wealth management industry required, focused on operations and compliance, and possessing a deep understanding of the operational and compliance functions required in an RIA environment.
Bachelor's degree in business administration, Finance or related field, advanced degrees, or certifications (e.g., JD, IACCP) are preferred.
Excellent proficiency in Microsoft Office Suite and other commonly used business software; comfortable learning and developing proficiency with other software, such as Portfolio Management System and CRM.
Excellent communication skills, including the ability to effectively communicate technical information to a non-technical audience and to tailor communications with appropriate context for clients and employees.
Demonstrates high levels of ethical behavior in accordance with professional and industry standards.
Strong understanding of financial markets, investment products, and regulatory requirements governing RIAs, including SEC regulations and fiduciary standards.
Exceptional leadership abilities with a track record of driving operational excellence, strategic planning, and organizational transformation.
Dependable, flexible, and adaptable to new initiatives and the ever-changing regulatory environment.
Possess the ability to identify potential regulatory, conduct and reputational risks, and present practical solutions to address and/or mitigate such risks.
A critical thinker and problem solver with high degree of self-direction to deliver the highest standards of compliance coverage and support.
Fosters positive interactions between associates with the ability to work effectively across different groups across the business, acts as an example for others.
Supports and demonstrates Matter Family Office's core values.
Strong organizational and time-management skills with ability to prioritize tasks and manage multiple projects simultaneously.
Attention to detail and ability to identify and mitigate project risks.
WHO YOU ARE:
You Embrace Evolution: You are able to manage changing priorities, willing to look for solutions beyond the conventional, and committed to applying new concepts to your work while learning from past experiences.
You Communicate to Connect: You have the courage, confidence, and skill to communicate internally and externally regardless of the audience.
You Collaborate with Purpose: You invite others' opinions into your decision-making processes and you commit to the team approach, balancing the value you can add with others' contributions.
You Prioritize to GSD (Get Stuff Done): You work well under pressure, can balance different projects and demands at the same time, and are adept at managing deadlines, “managing up,” and working with others to prioritize the most urgent and important actions to complete.
You Are All In: You demonstrate, in words and actions, enthusiasm and passion for Matter's defining purpose, values, and the vision we share.
You're Proactive: You like to identify what needs to be done and do it thoughtfully and creatively before being asked or before the situation requires it.
You Focus on Quality: You set high quality standards and strive for continuous improvement and quality assurance. You follow up to ensure that deliverables, agreements and commitments are fulfilled and have met expectations.
You Apply Organization Sensitivity: You are aware of how your actions, decisions and choices impact parts of the organization. You practice systemic thinking and understand how policies, practices, trends, technology and information will affect not only you, but others in the organization.
YOUR RESPONSIBILITIES:
The Chief Compliance Officer position is an opportunity to lead and oversee Matter Family Office's compliance needs. This independent role ensures that we adhere to all regulatory requirements, mitigate risk, and operate with the highest level of integrity. This includes the following responsibilities:
Maintain and update the Compliance policies and procedures manual.
File Form CRS, ADV and ADV -E on FINRA.
Manage firm and IAR registrations via FINRA website and brochures.
Manage compliance software to track trading, outside business activities, marketing and advertising.
Leverage strong interpersonal, verbal and written communication skills to interact with business management and functional partners with the ability to influence and inspire stakeholders at all levels of the organization.
Work with relevant stakeholders on implementation of new regulatory standard of care requirements, including analyzing rulemaking, providing compliance guidance, developing policies and procedures and training, drafting disclosures, assisting in developing supervisory controls.
Drives a culture of compliance across Matter Family Office, designing, implementing, and evolving systems and processes to identify and mitigate regulatory risks.
Works closely with leadership of all Matter Family Office functions to ensure that systems and processes are designed with operational and compliance requirements in mind.
Starts from a solution-focused posture, focusing on how to achieve business results within legal and regulatory requirements.
Carefully balances a collaborative, service-minded relationship with operational staff and an independent, risk-minded stance on behalf of firm leadership.
Train new employees on all compliance related and serves as the firm-wide resource for compliance questions.
Conducts periodic audit of client accounts to identify potential compliance issues.
Researches and recommends new compliance program features/upgrades and coordinates resulting implementation.
THE BENEFITS:
Competitive Salary and Annual Performance Based Bonus
Medical and Dental Health Plans
Supplemented Health Savings Account and Health Flexible Spending Account
Dependent Care Flexible Spending Account
Employer Supplemented Health Reimbursement Account Plan
Short- and Long-term disability coverage paid for by employer
Paid Group Life Insurance
Flexible 401(k) retirement benefits with employer matching
10 paid holidays per year plus competitive vacation and sick leave
Technology reimbursement plan
Opportunity for advancement based on performance, personal growth, and cultural fit
Work with a team-oriented culture that supports continuing education and career growth
Strong support for volunteer, community and/or industry involvement
ADDITIONAL INFORMATION
All your information will be kept confidential according to EEO guidelines. Please note that we are unable to sponsor applicants for work visas.