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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.
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
Bachelor’s degree from an accredited college or university (required)
Juris Doctorate from an ABA accredited law school (required)Undergrad and law school academic accomplishments a plus.
Admission to the North Carolina State Bar or at least one other state and eligible to be admitted in North Carolina for in-house practice.
8-12 years of experience working as internal counsel at an RIA or focusing on similar SEC compliance, and/or similar experience with a reputable law firm (required)
Thorough knowledge, understanding, and application of the Investment Advisers Act of 1940, as well as other rules and regulations governing and concerning companies and/or individuals similar to ours that are regulated by the SEC.
About AlphaStar Capital Management
AlphaStar is a fast growing registered investment advisory (RIA) firm and partners with a multitude of institutional money managers to provide a wide array of investment model options for advisers to utilize in their clients' financial plans. Alphastar also assists its advisers with practice management including time consuming, back-office tasks like compliance, operations, financial planning, and trading & billing. AlphaStar is also at the forefront of providing its advisers access to cutting edge new technology across all aspects of the business.