| WHO WE ARE: AlphaStar Capital Management is a growing and all-encompassing Registered Investment Adviser (RIA) offering multi-disciplined institutional asset management, sales and marketing, training, technology, and support – along with savvy 401(k) solutions, to investment adviser representatives and others located throughout the country. JOIN OUR TEAM TODAY! As we continue to serve the growing needs of our Financial Advisers along with acute attention to regulatory requirements, we have an opportunity for a highly-skilled professional to join our Leadership Team as General Counsel (GD) and Chief Compliance Officer (CCO) (collectively CCO). This position is located at our company headquarters in Cornelius, NC, a northern suburb of Charlotte, NC. YOUR ROLE: The CCO will report to the Managing Partner and have day-to-day responsibility for implementing, amending, leading, and overseeing the organization’s compliance programs, policies and procedures. The ideal candidate will have significant and broad experience in a compliance role with a sizable SEC-registered investment advisory firm, and/or similar law firm experience, and possess sound reasoning and problem solving abilities to quickly grasp compliance complexities. The candidate should also have impeccable communication and organizing skills, work well independently and as part of a team, have an entrepreneurial spirit, is confident in their recommendations, and motivated by growth. HOW YOU WILL MAKE AN IMPACT: - Developing an overall vision for compliance functional areas which effectively manages and mitigates risk.
- Establish and monitor for adherence to policies and procedures to ensure that SEC compliance programs meet applicable laws and regulations and ensure that advisors’ operations are conducted in compliance with applicable policies and procedures.
- Oversee compliance risk assessments and manage the department’s testing and monitoring program in accordance with regulatory expectations and best practices.
- Serve as a subject matter expert when dealing with advisors on a variety of compliance, regulatory and business/industry topics.
- Research existing rules, changes in laws, and monitor regulatory developments and communicate changes to affiliates and home office staff.
- Develop, implement, sustain, monitor, and when necessary revise, compliance programs that reflect “best practices” and ensures the firm is adhering to all legal and regulatory requirements.
Ensure that procedures are appropriately documented and referenced in the firm’s compliance manuals and written supervisory procedures. - Work with outside counsel.
- Review and approve all:
- Investment Advisory Agreements
- Marketing content and collateral
- SEC U-4 Requirements
- Onboarding of new Investment Advisor Representatives (IAR)
- E&O Insurance Requirements
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