Chief Compliance Officer in Cleveland at CBIZ

Date Posted: 12/4/2021

Job Snapshot

Job Description

CBIZ has been honored to be the recipient of several national recognitions:

  • 2020 Best Workplaces in Consulting & Professional Services by Great Place to Work®
  • 2020 Workplace Excellence Seal of Approval by the Alliance for Workplace Excellence
  • Top 101 2020 Best and Brightest Companies to Work For in the Nation
  • 2020 Healthiest 100 Workplace in America
  • 2021 Top Workplaces USA

Objective:

Provide strategic advice to CBIZ Financial Solutions, Inc (CFS) and CBIZ Investment Advisory Solutions (CIAS) including the development and monitoring of the company’s compliance program ensuring that all activities meet the requirements of state and federal legal and regulatory agencies.  Also act as a liaison with regulatory agencies on CFS and IAS compliance-related issues.      

Essential Functions:

  • Develop, initiate, maintain, and revise compliance policies and procedures for the general operation of the Broker Dealer and Registered Investment Adviser Compliance Programs and its related activities to prevent illegal, unethical, or improper conduct. Manage day-to-day operation of the Program.
  • Institute and maintain an effective compliance communication and training program for the organization, including promoting heightened awareness of Standards of Conduct and understanding of new and existing compliance issues and related policies and procedures.
  • Monitor the performance of the Compliance Program and relate activities on a continuing basis, taking appropriate steps to improve its effectiveness.
  • Identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolution of problematic issues, and provide general guidance on how to avoid or deal with similar situations in the future.
  • Collaborate with CBIZ operating units to direct compliance issues to appropriate existing channels for investigation and resolution. Consult with CFS and CBIZ Corporate counsel as needed to resolve difficult legal compliance issues.
  • Respond to alleged violations of rules, regulations, policies, procedures, and Standards of Conduct by evaluating or recommending the initiation of investigative procedures. Develop and oversee a system for uniform handling of such violations and the proper reporting of violations or potential violations to duly authorized enforcement agencies as appropriate and/or required.
  • Ensure that CBIZ Financial Solutions, Inc. and it’s individuals are properly registered with the appropriate regulatory agencies.
  • Address issues arising on background checks.
  • Act as an independent review and evaluation body to ensure that compliance issues/concerns within the organization are being appropriately evaluated, investigated and resolved.
  • Provide reports on a regular basis, and as directed or requested, to keep senior management informed of new and updated regulatory rules and regulations and the operation and progress of compliance efforts.
  • Adhere to ethics and employee code of conduct policies and, as appropriate, communicate the same to subordinates
  • Support the strategic review, due diligence, and integration of future M&A activity  
  • Monitor activities for evidence of fraud
  • Review activities within job scope for sufficient controls to prevent errors and misstatements of financial results
  • Travel to various branch locations as necessary
  • Perform other duties as assigned

Minimum Qualifications Required:

  • Bachelor's degree in relevant field preferred
  • Or High School Diploma (or GED) and 7 years experience in relevant field

Qualifications:

  • Bachelor's degree in relevant field preferred
  • Or High School Diploma (or GED) and 7 years experience in relevant field
  • Knowledge and experience with SEC and FINRA rules and regulations
  • Ability to develop and implement compliance solutions that are pragmatic, effective and forward looking
  • Possess a strong network of peers within the industry and be able to interpret regulatory changes and information and their relevance to the business
  • Excellent business judgment, the ability to integrate business issues and to partner with business leaders as well as with other key functional areas
  • Critical judgment in assessing potential compliance matters, the application of industry developments to the business and knowing when to seek independent advice and when to act independently
  • Decisive and mature, with the ability to drive consensus
  • Ability to tailor compliance solutions to business conditions
  • Detail-oriented, organized, highly proficient, working in a fast-paced, deadline driven environment, and able to solve complex problems in a collaborative manner
  • Willingness and ability to adjust to multiple demands, shifting priorities, and rapid change 
  • Highly organized with strong analytical skills
  • Possess problem-solving ability through detailed analysis of various rules and regulations. 
  • Exhibit leadership capabilities and the ability to listen to and communicate with staff effectively 
  • Able to work and develop a team environment
  • Possess an ownership mentality balanced with large company focus and common culture
  • Demonstrate initiative, imagination, resourcefulness, creativity, and independent thinking
  • Strict adherence to professional ethics
  • Proficient use of applicable technology
  • Demonstrated ability to communicate verbally and in writing throughout all levels of organization, both internally and externally
  • Series 7 and 24 licenses and clear compliance background

REASONABLE ACCOMMODATION

If you are a qualified individual with a disability you may request reasonable accommodation if you are unable or limited in your ability to use or access this site as a result of your disability. You can request a reasonable accommodation by calling 844-558-1414 (toll free) or send an email to accom@cbiz.com.

EQUAL OPPORTUNITY EMPLOYER

CBIZ is an affirmative action-equal opportunity employer and reviews applications for employment without regard to the applicant’s race, color, religion, national origin, ancestry, age, gender, gender identity, marital status, military status, veteran status, sexual orientation, disability, or medical condition or any other reason prohibited by law. If you would like more information about your EEO rights as an applicant under the law, please visit these following pages EEO is the Law and EEO is the Law Supplement.

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