Wealth Management Chief Compliance Officer RPJ
you someone who seeks opportunity and has a true desire to grow your career
with an organization that has enriched the lives of clients and communities in
the Washington, D.C. region? If so, Sandy Spring Bank’s wealth management
subsidiaries, West Financial Services (WFS) and Rembert Pendleton Jackson
(RPJ), may be the perfect fit for you! This role will allow you the
opportunity to lead the compliance programs for both our registered investment
About Our Parent Company -
Sandy Spring Bank
Sandy Spring Bank is a growing
financial services company that has focused on creating remarkable experiences
for our employees, clients, shareholders and communities for over 150
years. We are proud to be recognized by The Washington Post and the Baltimore
Sun as a 2020 Top Workplace, as well as Forbes magazine as the #1 Bank in
Maryland for 2019. It is our employees who play an integral role in shaping who
we are as a company and upholding what matter most to us: people and
About West Financial Services(WFS)
West Financial Services, we have spent over 30 years building a firm dedicated
to taking a conservative and ethical approach to growing and protecting our
clients’ wealth and prosperity. Since our inception in 1982, we have provided
financial services on a fee-only basis, acting as a fiduciary for our clients.
Each member of our team fully embraces the importance of this role and
what it means for our clients. We bring planning excellence, investment
discipline and personal service to everything we do.
About Rembert Pendleton Jackson (RPJ)
RPJ offers a wide range of financial planning and investment management
services to individuals, families, and organizations. We are a fee-only
independent Registered Investment Advisory firm. As fiduciaries, we have
a legal and ethical responsibility to put our clients’ interests first.
Based in Falls Church, VA, the firm currently serves clients from around
the national capital area and in over 35 states.
About The Job
West Financial Services (WFS)
and Robert Pendleton Jackson (RPJ) are currently recruiting for a Chief
Compliance Officer. If you are the chosen candidate, under the direction
of the West Financial Services (WFS) President and under the direction of the
CEO of Rembert Pendleton Jackson (RPJ) you will be responsible for directing
and aligning each compliance program, making sure that the ethics, policies,
procedures, and practices of both organizations meet the requirements of the
U.S. Securities and Exchange Commission (SEC), Sandy Spring Bank (SSB) internal
audit, and other regulatory bodies.
To help us attract the highest quality individuals, we
offer a comprehensive benefits package to those who qualify. We offer
competitive market salaries, paid time off, multiple retirement savings
options, full health care options, life insurance, health care and dependent
care flexible spending accounts, career development opportunities, tuition
assistance and volunteer opportunities. We are proud to offer those, and
so much more, making the Sandy Spring Bank family of companies a desirable
place to work and build a career.
Areas of focus:
- Provides a strong day-to-day leadership presence and an open door policy among all staff.Works closely with internal and external legal and compliance parties on all issues impacting the RIA space. Makes decisions through a combination of analysis and experience, with an eye toward the long term strategy of the RIA(s) under Sandy Spring Bancorp.
- Conducts employee training and provides platforms for staff to develop knowledge, skills and abilities to maximize performance within a compliant environment. Effectively writes and communicates changes in policies and procedures.
- Takes a leading role in annual audits, coordinating internal and external examinations and inspections. Prepares and responds to any deficiencies found in annual compliance reviews and audits conducted by the SEC, SSB internal audit or other regulators. Works with management and auditors to update the compliance manual.Analyzes data and conducts risk assessments and forensic testing to ensure policies and procedures are adequate.
- Prepares and maintains best execution reports. Reviews all marketing materials.Maintains books and records including quarterly reviews of employee personal trading, trade errors, password changes, annual compliance manual attestations, outside activities, gift reports, etc. Updates and files the firms’ Form ADV Parts 1, 2A, and 2B, as necessary.Assists with registration of employees, filing U-4s and U-5s as needed.Files quarterly 13-F notice reports.
- Stays apprised of regulatory changes. Monitors day-to-day activities that could conflict with the compliance manual.Performs other supervisory and compliance functions as needed.
- Requires professional and leadership skills and a thorough understanding of complex SEC regulations. Undergraduate degree required and master’s degree or professional designation (e.g., MBA, CFA, CFP®, IACCP®, etc.) is preferred.
- Minimum 5 years increasingly responsible, comparable work experience.
- Requires extensive internal and external contacts at all levels involving high degree of diplomacy, tact, judgment, timing, and persuasion.External contacts involve dealing with persons or groups on matters of major importance.
- Ability to communicate complex information from diverse sources in an organized manner.Able to write statements of broad policy and to make effective presentation of proposals and recommendations before senior management and management committees.
- Plans and performs complex work which involves new or constantly changing issues where there is little accepted method of procedure.Involves participation in the formulation and carrying out of policies, objectives and programs.
- Requires experience using personal computer systems with an excellent knowledge of MS Word and Excel.Ability to use standard office equipment.
- Accuracy and attention to detail are required.
West Financial Services and
Rembert Pendleton Jackson (RPJ), subsidiaries of Sandy Spring Bank, are an
equal employment opportunity employer and all qualified applicants will receive
consideration for employment without regard to race, color, religion, sex,
sexual orientation, gender identity, national origin, disability status,
protected veteran status, or any other characteristic protected by law. We
maintain a drug-free workplace environment and perform pre-employment substance
If you require a reasonable accommodation to apply for a position with Sandy
Spring Bank, please call our job line at 1-800-399-5919 and select option
5. Requests are considered on a case-by-case basis.