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Chief Compliance Officer Goelzer Investment Management

Chief Compliance Officer

Full Time • Goelzer Investment Management
The successful candidate will be a self-starter who displays initiative and a positive attitude, a high level of integrity, and the motivation to take on a variety of tasks in a team-oriented environment. The successful candidate will be an individual who demonstrates a high level of respect for each person they encounter, is truly interested in continual personal and professional growth, and finds personal fulfillment in providing outstanding service and generally helping others.  Above all, we are looking for a highly qualified individual who sees this as a tremendous opportunity for a long-term career at Goelzer and who will be passionately committed to continuously improving our compliance program.

Job Summary: The Chief Compliance Officer is responsible for managing the firm’s compliance program in a manner that (i) ensures the firm’s ongoing compliance with applicable laws, (ii) continuously improves the firm’s compliance program, (iii) leverages SEC guidance and industry best practices, and (iv) proactively provides timely and practical training and advice to team members.

Key Responsibilities:
• Develop, implement, administer, and continuously improve the firm’s compliance program including appropriate policies, control measures, and regular reviews and testing.
• Serve as an effective representative of the firm with regulatory entities by coordinating audits and investigations and appropriately reviewing and resolving inquiries and other concerns.
• Foster a culture of compliance across the firm.
• Work proactively to train and advise team members and address questions, concerns, or suggestions in a timely and appropriate manner.
• Manage the firm’s risk assessment framework, identify proactive solutions that help mitigate risks and achieve the firm’s goals and objectives, and serve as chair of the firm’s Risk Management Committee.
• Review the firm’s proposed communications, including responses to requests for proposals, marketing materials, and mass communications, to ensure compliance with regulatory requirements and the firm’s policies.
• Oversee compliance with the firm’s IT security policies in coordination with the Senior Manager, Portfolio Operations & Information Technology, and Chief Operating Officer to protect and improve the security of the firm’s information technology systems and data.
• Participate in compliance and security-related projects that contribute to the firm’s cybersecurity and business continuity protocols.
• Preserve corporate records in compliance with legal requirements and best practices.
• Oversee the firm’s corporate insurance with the firm’s insurance broker.

Work Experience / Knowledge:
• Five or more years of direct compliance experience at a Registered Investment Advisory firm.
• Strong verbal and written communication skills and the ability to coordinate effectively with senior management on high-priority compliance matters.
• Strong working knowledge of SEC regulations and requirements, including the Investment Advisers Act of 1940, the Investment Company Act of 1940, and the Exchange Act as related to SEC-registered investment advisers.
• Ability to effectively lead committees in relation to compliance and/or risk management.
• Experience developing, implementing, and monitoring compliance policies and plans.
• Experience testing and analyzing compliance program elements for efficiency and effectiveness.
• Experience working with Code of Ethics systems such as Compliance Alpha.

Preferred but not Required:
• Working knowledge of compliance program modules attached to order management systems or portfolio accounting systems.
• Prior experience with Compliance Alpha, Tamarac, RIA Analytics, and Practifi/Salesforce.

Skills / Other Personal Attributes Required:
• Passionate about providing proactive, practical advice and helping team members achieve their goals and objectives.
• Enjoys setting and achieving personal goals and objectives, with a proven ability to prioritize effectively.
• Enjoys working in a fast-paced work environment and multi-tasking.
• Enjoys collaborating with others to improve ideas and outcomes.
• Excellent analytical, decision-making, and critical thinking skills.
• Superior organizational skills and keen attention to detail.
• Understand and respect for corporate structure.
• Initiative, creativity, judgment, and poise.
• Dedication to professionalism and confidentiality.
• Computer proficiency, particularly in Microsoft Office Suite.

Education/Certifications:
• Bachelor’s Degree in accounting, finance, business, law, or related discipline.




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Employee Value Proposition

Professional Growth | Financial Security | Social Impact | Emotional Wellbeing | Physical Health

At Goelzer, we believe in enriching the lives of our clients, colleagues, and community, through an inclusive, respectful work environment, where outstanding contributions are rewarded, community impact is encouraged, and work-life balance is supported.​ 
Professional Growth
Challenging & rewarding career paths that map the opportunity to advance to leadership positions. Every team member collaborates on their individual and professional growth, including program assistance to pursue degrees and professional designations.
Financial Security
Competitive base salary, meaningful incentives and uncapped earning potential to reward hard work. Culture of ownership through Employee Stock Ownership Plan (ESOP) in addition to 401(k) benefits. Financial planning and investment management assistance at your disposal.
Physical Health
Medical, Dental, Vision benefits. Life insurance. Employer paid long-term disability benefits. Health Savings Account with annual company contribution. Health Reimbursement Account to help during major health costs.
Emotional Wellbeing
Flexible, professional work environment with remote work oportunities. Adjustable work hours to accommodate childcare and family events. Access to quality time off with nine paid holidays on the New York Stock Exchange schedule. Employee assistance programs to help you bring your best-self to work.
Social Impact
Two paid Community Engagement Days per year to give back. Encouraged to get involved with community organizations by participating on boards and committees. Annual United Way charitable campaign. Regular employee engagement opportunities including DEI activities.