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Chief Compliance Officer

Winter Park

Foundation Risk Partners, one of the fastest growing insurance brokerage and consulting firms in the US, is adding a Chief Compliance Officer to their team at Advus Financial Partners in the Orlando Metro Region. 

Job Summary:

The Chief Compliance Officer ("CCO") is responsible for the design, implementation, administration, and supervision of the firm's comprehensive compliance program. The CCO serves as the primary leader responsible for promoting a culture of compliance, managing regulatory risk, and ensuring adherence to applicable federal and state securities laws and regulations.

Managing approximately $4 billion in client assets, Advus seeks an experienced compliance executive who can provide strategic leadership, regulatory expertise, and practical business guidance. The CCO will work closely with executive leadership, legal counsel, operations, technology, and advisory personnel to support the firm's growth while maintaining the highest standards of regulatory compliance and fiduciary responsibility.

The CCO reports directly to the President and has regular access to the Executive Committee and other senior leadership.

Essential Functions:

Compliance Program Leadership

  • Develop, implement, maintain, and continuously enhance the firm's compliance program.
  • Administer the policies and procedures required under Rule 206(4)-7 of the Investment Advisers Act.
  • Conduct and document the firm's annual compliance review and assessment.
  • Identify, assess, and mitigate regulatory and compliance risks across all business lines.
  • Promote and maintain a strong culture of ethics, fiduciary responsibility, and regulatory compliance.

Regulatory Oversight

  • Serve as primary point of contact for the Securities and Exchange Commission (SEC), state regulators, and other regulatory bodies.
  • Coordinate regulatory examinations, inquiries, deficiency responses, and remediation efforts.
  • Monitor regulatory developments and assess impact on business operations.
  • Oversee timely and accurate filing of Form ADV, Form CRS, and other regulatory disclosures.
  • Maintains EDGAR/IARD access.
  • Ensure compliance with federal and state securities laws.

Fiduciary and Advisory Compliance

  • Oversee policies governing fiduciary obligations and standards of care.
  • Monitor advisory activities for consistency with disclosures, client agreements, and regulatory requirements.
  • Review conflicts of interest and develop appropriate mitigation and disclosure controls.
  • Ensure suitability, best interest, and fiduciary standards are maintained across client relationships.
  • Oversee policies related to fee billing, trading, portfolio management, and client communications.

Compliance Monitoring and Testing

  • Develop and execute a risk-based compliance testing and monitoring program.
  • Oversee surveillance systems and exception reporting.
  • Conduct reviews of:
    • Personal securities transactions
    • Outside business activities
    • Gifts and entertainment
    • Political contributions
    • Marketing and advertising
    • Electronic communications
    • Custody and safeguarding of client assets
  • Investigate potential compliance violations and recommend corrective actions.

Marketing Rule Compliance

  • Oversee compliance with SEC Marketing Rule requirements.
  • Review advertisements, websites, social media communications, presentations, testimonials, endorsements, and performance reporting.
  • Ensure documentation supporting performance claims and advertising materials is maintained.
  • Provide guidance on new marketing initiatives and business development activities.

Employee Compliance and Training

  • Administer employee compliance policies and Code of Ethics.
  • Develop and deliver compliance training programs.
  • Conduct employee certifications and annual attestations.
  • Provide guidance to associates regarding regulatory obligations and ethical considerations.
  • Maintain employee compliance records and reporting systems.

Vendor and Third-Party Risk Management

  • Oversee compliance due diligence related to third-party vendors and service providers.
  • Participate in operational due diligence reviews.
  • Monitor compliance obligations associated with custodians, technology vendors, and outsourced service providers.
  • Assist in cybersecurity governance and incident response planning.

Governance and Reporting

  • Prepare periodic compliance reports for executive management and the Board.
  • Present compliance trends, testing results, regulatory developments, and risk assessments.
  • Develop management reporting and key compliance metrics.
  • Recommend improvements to governance and control structures.

Supervision

  • Supervising the firm’s supervised persons and their compliance with applicable securities laws and regulations.
  • Advus’ compliance manual and policies and procedures.

Required Qualifications:

  • Bachelor’s degree in Finance, Business, Accounting, Law, or related field.
  • Minimum 10 years of investment advisory compliance experience.
  • Minimum 5 years in a senior compliance leadership role.
  • Deep knowledge of:
    • Investment Advisers Act of 1940
    • SEC regulations
    • Form ADV requirements
    • Marketing Rule
    • Code of Ethics requirements
    • Fiduciary obligations of registered investment advisers
  • Experience leading SEC examinations and regulatory responses.
  • Strong written and verbal communication skills.
  • Demonstrated ability to influence senior leadership and business stakeholders.

Preferred Qualifications:

  • Juris Doctor (JD), MBA, or advanced degree.
  • Certified Regulatory and Compliance Professional (CRCP).
  • Investment Adviser Certified Compliance Professional (IACCP).
  • Certified Securities Compliance Professional (CSCP).
  • Experience with wealth management, private client, family office, or institutional advisory businesses.
  • Experience overseeing compliance programs for firms exceeding $1 billion in AUM.

Disclaimer:

While this job description is intended to be an accurate reflection of the job requirements, management reserves the right to modify, add, or remove duties from particular jobs and to assign other duties as necessary.

Equal Employment Opportunity (EEO):

FRP provides equal employment opportunity to qualified persons regardless of race, color, sex, religion, national origin, age, sexual orientation, gender identity, disability, veteran status, or any other classifications protected by law.

Benefits:

FRP offers a comprehensive range of health-related benefit options including medical, vision, and dental. We offer a 401(k) with company match, company paid life insurance, STD, LTD and a generous PTO policy starting at 18 days per year plus 10 paid holidays & 2 floating holidays!

 

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