Job Description

Job Description

Job Description

About Us

Gibbs Wealth Management is a dynamic and rapidly growing Registered Investment Advisor (RIA) dedicated to providing personalized investment management and financial planning services to retail clients and financial advisors. We pride ourselves on our commitment to fiduciary responsibility, transparency, and a client-first ethos. As we scale, we are seeking an experienced Chief Compliance Officer to lead and strengthen our compliance framework, ensuring adherence to all regulatory requirements and safeguarding the integrity of our operations.

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Position Overview

The Chief Compliance Officer will oversee all aspects of the firm’s compliance program, ensuring alignment with SEC and state regulations and working closely with firm’s compliance technology partners. This role is crucial for maintaining the firm’s reputation, managing regulatory risk, and fostering a culture of ethical conduct and compliance excellence.

Chief Compliance Officer’s key responsibilities:

1. Develop and Implement Compliance Programs

• Design and implement policies, procedures, and guidelines to ensure the company complies with applicable laws, regulations, and standards.
• Oversee the firm’s Code of Ethics, including personal trading and employee disclosures.
• Establish training programs to educate employees about compliance requirements.

2. Monitor and Assess Compliance Risks

• Identify, assess, and mitigate compliance risks within the organization.
• Conduct regular audits and reviews to ensure policies are being followed.
• Stay informed about changes in regulations that could impact the business.

3. Ensure Regulatory Adherence

• Manage relationships with regulatory bodies and respond to regulatory inquiries or investigations.
• Ensure adherence to SEC and state regulations, including filing Form ADV and other regulatory documents.
• Serve as the primary contact for regulatory examinations, audits, and inquiries.

4. Internal Oversight

• Work closely with other departments, including legal, HR, finance, and operations to embed compliance in daily business practices.
• Act as an independent authority within the company to ensure ethical behavior and regulatory adherence.

5. Investigate and Resolve Issues

• Incident & response management
• Lead investigations into potential compliance violations or ethical misconduct.
• Develop corrective action plans to address any deficiencies and prevent recurrence.

6. Reporting

• Provide regular reports to the CEO, President and other senior executives on compliance activities, risks, and issues.
• Ensure transparency and accountability in compliance efforts.
• Monitor and review advertising, marketing materials, and client communications for compliance.
• Maintain required compliance items through ComplySci technology/reporting platform.

7. Foster a Culture of Ethics and Compliance

• Promote ethical conduct and decision-making at all levels of the organization.
• Encourage employees to report concerns without fear of retaliation (often managing whistleblowing policies).

8. Risk Management Integration

• Conduct periodic compliance risk assessments and ensure effective risk mitigation strategies.
• Ensure compliance risk management aligns with the company’s strategic goals.
• Develop, implement, and continuously improve the firm’s compliance policies and procedures.
• Maintain documentation of compliance incidents and corrective actions.

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Qualifications: 

- Education: Bachelor’s degree in finance, law, business, or a related field. 8-10 Years of experience in lieu of degree. 

-  Experience:

-3 – 5 years in compliance, legal, or regulatory roles within the investment advisory industry. 

- In-depth knowledge of SEC and state regulations governing RIAs.

- Compliance certifications are a plus: Series 14 and/or Series 24. 

- Strong leadership, communication, and analytical skills.

- Ability to manage multiple priorities in a fast-paced environment. - Proficiency in compliance technology tools and software.

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What We Offer

- Leadership Position with a rapidly growing company. 

- Competitive salary and performance-based incentives.

- Comprehensive benefits package, including health insurance and retirement plans.

- A collaborative, mission-driven work environment with a focus on growth and innovation.

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How to Apply

If you are a compliance expert passionate about integrity, transparency, and fiduciary excellence, we’d love to hear from you. Please send your resume and a cover letter detailing your qualifications to Dan.Mowery@gibbsfinancialgroup.com

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Join us and make a meaningful impact as we guide our clients and advisors toward their financial goals with trust and expertise!

Company Description

Gibbs Financial Group, (GFG) & Gibbs Wealth Management are financial services companies that focus on strategies to grow its clients retirement and investment accounts through a comprehensive planning process. The United States, Headquarters Office is located in Alpharetta, Georgia.

The Founder & CEO, Bo Gibbs has been in the financial services industry since October, 1997 and his firm provides comprehensive financial planning for individuals, families and small businesses.

Specialties: Gibbs Financial Group & Gibbs Wealth Management specializes in wealth management, life insurance, tax planning, fixed indexed annuities estate planning and comprehensive financial planning. GFG & GWM educates and focuses on keeping things simple and easy to understand for its clients.

Company Description

Gibbs Financial Group, (GFG) & Gibbs Wealth Management are financial services companies that focus on strategies to grow its clients retirement and investment accounts through a comprehensive planning process. The United States, Headquarters Office is located in Alpharetta, Georgia. \r\n\r\nThe Founder & CEO, Bo Gibbs has been in the financial services industry since October, 1997 and his firm provides comprehensive financial planning for individuals, families and small businesses.\r\n\r\nSpecialties: Gibbs Financial Group & Gibbs Wealth Management specializes in wealth management, life insurance, tax planning, fixed indexed annuities estate planning and comprehensive financial planning. GFG & GWM educates and focuses on keeping things simple and easy to understand for its clients.

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