Compliance Officer - Legal and Compliance
Choreo · Charlotte
Choreo is a wealth management firm built on an interconnected network of financial advisors with a shared vision servicing entrepreneurs, CPAs, and individuals with a forward-thinking approach to financial planning to translate wealth into fulfillment. With over 200 employees and 40+ locations across the country, we are here to serve our clients beyond what is expected.
OPENING SUMMARY
Choreo is seeking a Compliance Officer to join the Legal and Compliance team and support the regulatory compliance program of a growing wealth management firm registered with the U.S. Securities and Exchange Commission. Reporting to the Deputy Chief Compliance Officer, this role will help administer, execute, and enhance key elements of Choreo's compliance program while partnering across the business to translate regulatory requirements into practical, risk-based controls.
The ideal candidate has 6-10 years of investment adviser compliance or other relevant experience, preferably within wealth management. This individual is a collaborative, solutions-oriented professional who exercises sound judgment, manages competing priorities effectively, and proactively identifies opportunities to strengthen the compliance program.
Primary Responsibilities:
- Draft, implement, and maintain written compliance policies and procedures, including updates in response to regulatory changes and coordination of stakeholder review and approval.
- Provide day-to-day compliance support for marketing and advertising review workflows, including the review of client-facing communications and maintenance of required substantiation and supporting documentation.
- Assist with the design, execution, and enhancement of the compliance testing and monitoring program, including risk assessments, test scripts, sampling methodologies, documentation of results, issue tracking through remediation, key risk indicators, and thematic findings.
- Support regulatory examinations and internal audits by gathering documentation, preparing responses, tracking deliverables, and coordinating follow-up activities.
- Partner with business, legal, and operations teams, under the supervision of the Deputy Chief Compliance Officer, to advise on compliance requirements and practical controls for new products, services, vendors, and initiatives.
- Provide compliance support and oversight for financial planning and insurance-related services and products, including review and monitoring of planning deliverables, licensing and supervision practices, and related disclosures.
- Assist in developing and delivering compliance training, including annual training, targeted training informed by testing findings, and onboarding materials.
- Maintain complete and accurate compliance records, including policies and procedures, marketing review files, testing workpapers, and related documentation.
- Provide compliance support and oversight for asset management activities, including investment management and trading practices, portfolio and model management, trade allocation and best execution, and advisory fee and billing reviews.
- Support technology, data, privacy, and governance initiatives, including vendor and third-party due diligence, cybersecurity and business continuity requirements, electronic communications and recordkeeping, and privacy program obligations.
- Provide compliance oversight for artificial intelligence programs, including their application to wealth management activities and related governance and controls.
- Identify opportunities to enhance compliance processes, controls, documentation, and program effectiveness.
Basic Qualifications:
- Bachelor's degree required.
- 6-10 years of investment adviser compliance or other relevant experience, with a preference for experience in wealth management and with an SEC-registered investment adviser.
- Demonstrated experience drafting and maintaining compliance policies and procedures.
- Experience with compliance testing and monitoring, marketing and advertising review, regulatory examinations, or internal audits.
- Strong track record of advising and collaborating with legal and compliance colleagues and cross-functional business partners.
- Excellent written, verbal, and interpersonal communication skills.
- Sound judgment and the ability to work independently and collaboratively in a fast-paced, dynamic environment.
- Proven ability to manage competing priorities and deliver high-quality work under short deadlines.
- High ethical standards and strong commitment to integrity.
- Self-starter who proactively identifies risks, process gaps, and opportunities to enhance the compliance program.
- Experience with compliance related programs (RedOak, MyComplianceOffice, GlobalRelay).
Employee Benefits
At Choreo, we provide a holistic, total reward offering to empower our teams in their professional and personal lives. We seek to provide employees with benefits that place an emphasis on health, happiness, and financial security. Here is what we offer:
- Competitive salary and bonus plan
- Competitive medical, dental, and vision plans
- Basic life and disability coverage
- 401(k) matching program
- Financial support for approved designations and courses
- Technical, leadership, sales training opportunities
- Unlimited, discretionary time off
- Paid parental leave
Choreo is an equal opportunity employer. We are committed to fostering, cultivating, and preserving a culture of diversity, equity, and inclusion.