Deputy Chief Compliance Officer

SageSpring Wealth Partners

Full time Executive Finance Investment Officer Securities

Job Description

Deputy Chief Compliance Officer – Top Employer/Great Culture/Golden Opportunity

At SageSpring Wealth Partners, we understand that success comes from great partnerships, and great partnerships start with strong collaborations. We’re looking for a Deputy Chief Compliance Officer with broad SEC-RIA compliance expertise, who brings a collaborative spirit to their interactions and partnerships across multiple levels of the firm, and with the successful expectation of succeeding our Chief Compliance Officer within the next fiscal year.

About Us

SageSpring Wealth Partners is a Forbes’ Best-In-State Wealth Advisors recipient, Nashville Business Journal’s #1 Mid-Sized Business Culture (2021), and a Tennessean Top Workplace for the last three consecutive years. With more than 40 wealth teams covering five states, our client-focused approach continues to help drive our growth across the country. We listen to our clients to understand their lives, creating sensible, holistic financial plans that put their best interests first. If you're passionate about serving others and are seeking a high-performance environment that is mission-driven, supportive and full of opportunity, then look no further!

Key Functions Will Include:

Reporting to the CCO, you will manage, operate, and administer the Firm’s entire compliance program to meet SEC and DOL regulatory requirements, as well as state and federal privacy laws, industry best practices, and adherence to high ethical standards.
Training firm personnel on regulatory compliance matters germane to their operating roles and their understanding and awareness of policies and procedures throughout the organization.
Providing advice, direction, education, and support to the Firm with respect to all fiduciary activities.
Preparing and filing all required regulatory filings and disclosure documents in a timely and accurate manner, such as Forms ADV, CRS, etc.
Conducting routine, periodic, annual, and special compliance reviews and maintaining well organized systemic records of the Firm’s compliance program

Qualifications:

Bachelor’s degree required
J.D. degree or equivalent, as well as extensive SEC regulatory experience. (J.D. degree strongly preferred, but extensive SEC compliance exp. will be considered in lieu of J.D. degree)
Extensive knowledge and background in compliance, legal and/or regulatory exp. working with or for investment advisory firms. The ideal candidate will have experience in a similar role (or prior service on the SEC Staff), and credible expertise in federal securities law, including full command over the Investment Advisers Act of 1940 and rules thereunder.
Willing to attain the Investment Advisor Certified Compliance Professional (IACCP) certification within 2 years of hire.

Rewards:

Great Benefits – Includes Health Insurance, Dental, Vision, 401K, Life Insurance, Short-Term and Long-Term Disability, Paid Vacation and Holidays.
#1 Culture – Join and grow in the #1 rated culture for mid-sized employers in Nashville (NBJ 2021).
Inspiring Leadership – Our leadership truly embodies the definition of servant leaders that inspires a work environment in which our teams can flourish that’s energetic, positive, fun, and highly supportive.
High Performance - Our motto is “Humble. Hungry. Smart.” and that’s truly exemplified from the top down.
Continuing Education - Company sponsored professional development - Let us help you transform your career goals and educational accomplishments into opportunities and successes.
Community Involvement – We’re passionate about supporting our community with each office choosing a charity/cause to champion.

Location & Schedule

Franklin, TN (Cool Springs)
Monday - Friday, Days
This position is: IN OFFICE F/T

*Please submit your application through our company career site: https://www.sagespring.com/careers/

* Please DO NOT call, email, or drop by to share your resume.

*No recruiter inquiries will be accepted.

Apply Now

Recognized as a Top Workplace for the last three consecutive years, SageSpring operates as a family. With over 40 wealth teams covering five states, our client-focused approach continues to help drive our growth across the country. We build our relationships through trust and with the heart of a teacher. We partner with clients in pursuit of financial independence and planning for the future. Through our broker-dealer Raymond James, we have the support of a large company, while offering clients the intimate service of a small firm.

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