Chief Compliance Officer

span 12pt; font-family: arial, helvetica, sans-serif; a bold; Foundation Risk Partners strong, one of the fastest growing insurance brokerage and consulting firms in the US, is adding a em bold; Chief Compliance Officer strong to their team strong at a Advus Financial Partners in the Orlando Metro Region.

span 12pt; font-family: arial, helvetica, sans-serif; Job Summary:

span arial, helvetica, sans-serif; font-size: 12pt; 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.

span arial, helvetica, sans-serif; font-size: 12pt; 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.

span arial, helvetica, sans-serif; font-size: 12pt; The CCO reports directly to the President and has regular access to the Executive Committee and other senior leadership.

span 12pt; font-family: arial, helvetica, sans-serif; Essential Functions:

span arial, helvetica, sans-serif; font-size: 12pt; Compliance Program Leadership

arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Develop, implement, maintain, and continuously enhance the firm s compliance program.
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Administer the policies and procedures required under Rule 206(4)-7 of the Investment Advisers Act.
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Conduct and document the firm s annual compliance review and assessment.
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Identify, assess, and mitigate regulatory and compliance risks across all business lines.
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Promote and maintain a strong culture of ethics, fiduciary responsibility, and regulatory compliance.

span arial, helvetica, sans-serif; font-size: 12pt; Regulatory Oversight

arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Serve as primary point of contact for the Securities and Exchange Commission (SEC), state regulators, and other regulatory bodies.
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Coordinate regulatory examinations, inquiries, deficiency responses, and remediation efforts.
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Monitor regulatory developments and assess impact on business operations.
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Oversee timely and accurate filing of Form ADV, Form CRS, and other regulatory disclosures.
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Maintains EDGAR/IARD access.
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Ensure compliance with federal and state securities laws.

span arial, helvetica, sans-serif; font-size: 12pt; Fiduciary and Advisory Compliance

arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Oversee policies governing fiduciary obligations and standards of care.
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Monitor advisory activities for consistency with disclosures, client agreements, and regulatory requirements.
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Review conflicts of interest and develop appropriate mitigation and disclosure controls.
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Ensure suitability, best interest, and fiduciary standards are maintained across client relationships.
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Oversee policies related to fee billing, trading, portfolio management, and client communications.

span arial, helvetica, sans-serif; font-size: 12pt; Compliance Monitoring and Testing

arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Develop and execute a risk-based compliance testing and monitoring program.
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Oversee surveillance systems and exception reporting.
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Conduct reviews of:
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Personal securities transactions
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Outside business activities
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Gifts and entertainment
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Political contributions
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Marketing and advertising
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Electronic communications
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Custody and safeguarding of client assets

arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Investigate potential compliance violations and recommend corrective actions.

span arial, helvetica, sans-serif; font-size: 12pt; Marketing Rule Compliance

arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Oversee compliance with SEC Marketing Rule requirements.
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Review advertisements, websites, social media communications, presentations, testimonials, endorsements, and performance reporting.
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Ensure documentation supporting performance claims and advertising materials is maintained.
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Provide guidance on new marketing initiatives and business development activities.

span arial, helvetica, sans-serif; font-size: 12pt; Employee Compliance and Training

arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Administer employee compliance policies and Code of Ethics.
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Develop and deliver compliance training programs.
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Conduct employee certifications and annual attestations.
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Provide guidance to associates regarding regulatory obligations and ethical considerations.
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Maintain employee compliance records and reporting systems.

span arial, helvetica, sans-serif; font-size: 12pt; Vendor and Third-Party Risk Management

arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Oversee compliance due diligence related to third-party vendors and service providers.
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Participate in operational due diligence reviews.
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Monitor compliance obligations associated with custodians, technology vendors, and outsourced service providers.
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Assist in cybersecurity governance and incident response planning.

span arial, helvetica, sans-serif; font-size: 12pt; Governance and Reporting

arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Prepare periodic compliance reports for executive management and the Board.
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Present compliance trends, testing results, regulatory developments, and risk assessments.
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Develop management reporting and key compliance metrics.
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Recommend improvements to governance and control structures.

span arial, helvetica, sans-serif; font-size: 12pt; Supervision

span arial, helvetica, sans-serif; font-size: 12pt; Supervising the firm’s supervised persons and their compliance with a span arial, helvetica, sans-serif; font-size: 12pt; pplicable securities laws and regulations.
arial, helvetica, sans-serif; font-size: 12pt; Advus’ compliance manual and policies and procedures.

span arial, helvetica, sans-serif; font-size: 12pt; Required Qualifications:

arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Bachelor’s degree in Finance, Business, Accounting, Law, or related field.
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Minimum 10 years of investment advisory compliance experience.
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Minimum 5 years in a senior compliance leadership role.
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Deep knowledge of:
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Investment Advisers Act of 1940
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; SEC regulations
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Form ADV requirements
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Marketing Rule
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Code of Ethics requirements
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Fiduciary obligations of registered investment advisers

arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Experience leading SEC examinations and regulatory responses.
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Strong written and verbal communication skills.
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Demonstrated ability to influence senior leadership and business stakeholders.

span arial, helvetica, sans-serif; font-size: 12pt; Preferred Qualifications:

arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Juris Doctor (JD), MBA, or advanced degree.
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Certified Regulatory and Compliance Professional (CRCP).
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Investment Adviser Certified Compliance Professional (IACCP).
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Certified Securities Compliance Professional (CSCP).
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Experience with wealth management, private client, family office, or institutional advisory businesses.
arial, helvetica, sans-serif; font-size: 12pt; span arial, helvetica, sans-serif; font-size: 12pt; Experience overseeing compliance programs for firms exceeding $1 billion in AUM.

0pt; margin-bottom: 8pt; font-family: Times New Roman; font-size: 12.0pt; span bold; color: rgb(0, 0, 0); font-family: arial, helvetica, sans-serif; Disclaimer:

0pt; margin-bottom: 8pt; font-family: Times New Roman; font-size: 12.0pt; color: black; span rgb(0, 0, 0); font-family: arial, helvetica, sans-serif; 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.

0pt; margin-bottom: 8pt; font-family: Times New Roman; font-size: 12.0pt; color: black; span bold; color: rgb(0, 0, 0); font-family: arial, helvetica, sans-serif; Equal Employment Opportunity (EEO):

0pt; margin-bottom: 8pt; font-family: Times New Roman; font-size: 12.0pt; color: black; span rgb(0, 0, 0); font-family: arial, helvetica, sans-serif; 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.

0pt; margin-bottom: 8pt; font-family: Times New Roman; font-size: 12.0pt; color: black; span bold; color: rgb(0, 0, 0); font-family: arial, helvetica, sans-serif; Benefits:

0pt; margin-bottom: 8pt; font-family: Times New Roman; font-size: 12.0pt; span rgb(0, 0, 0); font-family: arial, helvetica, sans-serif; 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 and 2 floating holidays!