Dowling & Yahnke, LLC is one of the largest independent wealth management firms in San Diego. Founded in 1991, we serve high net worth clients who value extremely personalized, fee-only, fiduciary-based investment management and wealth planning services.
We are seeking a highly credentialed individual for its Chief Compliance Officer, reporting to Mark Muñoz, COO/CFO. The ideal candidate will have 5-10+ years of compliance experience in the RIA industry. As an SEC Registered Investment Advisor, Dowling & Yahnke is subject to the provisions of the Investment Advisers Act of 1940 and numerous other regulations and securities laws. The CCO will oversee all aspects of the Firm’s compliance with these regulations.
Dowling & Yahnke, LLC offers a competitive salary, as well as a comprehensive benefits package and profit sharing plan. All candidates are required to successfully complete a full background/credit check at the offer stage.
Compliance responsibilities include:
• Manage and administer all policies and procedures associated with the Firm’s regulatory compliance program.
• Prepare and submit all required regulatory filings and disclosure documents in a timely and accurate manner.
• Monitor and test the Firm’s policies and procedures to determine the adequacy and effectiveness of the Firm’s compliance program. Report results to the COO and work with business units to implement improvements as required.
• Train advisory personnel on regulatory compliance matters to enhance understanding and awareness throughout the organization.
• Maintain systemic records of the Firm’s compliance program in the event of an outside audit and/or regulatory examination.
• Interface with regulators, examiners, and outside legal counsel as matters pertain to job duties.
• Maintain ongoing expertise in federal and state regulatory policies. Communicate pertinent industry matters to the COO.
• Provide direction, education, and support to the Firm with respect to fiduciary and regulatory compliance activities.
• Participate in various committee meetings
• Review all marketing materials
• Final proofing of client custodian paperwork and Investment Policies
• Support Chief Operating Officer in various projects essential to daily business demands
Firm Responsibilities include:
Attend Firm events (client and staff), industry meetings, and opportunities for networking to enhance the Firm’s reputation with clients, in the community, and the industry.
Qualifications and Requirements:
• A Bachelor’s Degree from an accredited four-year college or university, along with 5-10+ years of regulatory compliance and operations experience in the Registered Investment Advisor industry required.
• CFP and IACCP designations
• 5+ years recent work experience at a Registered Investment Advisor (RIA) firm; experience with high-net-worth clients strongly preferred.
• Strong knowledge and understanding of the Investment Advisers Act of 1940, ERISA, Dodd-Frank and other relevant regulations and laws.
• Experience dealing with the U.S. Securities & Exchange Commission, having served as the Firm contact during an SEC audit
• Working knowledge of Microsoft Office Suite programs. Familiarity with Tamarac AdvisorView, Salesforce, and Schwab custodial platform highly preferred. Schwab/SCT or other compliance tracking system experience preferred.
• Highest standards of personal and professional ethics and integrity.
• Professional, personable, tactful, efficient and self-motivated
• Strong interpersonal skills and sense of teamwork valued.
• Strong organizational skills, multitasking, accuracy, service-minded, and meticulous adherence to details required.
• Entrepreneurial-minded approach to business; small/midsize company experience preferred.
• Strong written and verbal skills.
This position is exempt and is paid according to the laws of the State of California.
Dowling & Yahnke, LLC is an Equal Opportunity employer. Eligible candidates will be able to provide proof of eligibility to work in the United States without support; sponsorship is not available. Relocation assistance may be provided, upon negotiation, for an ideal candidate.