Join Our teamWe are always on the lookout for enthusiastic, committed, and detail-oriented individuals to contribute to our formula for success. Our priority is putting our clients’ needs first and if you’re someone who has superior client service skills and a great work ethic, we want to hear from you.As an established firm, we’re continuously growing our financial advisory business to offer the tools, resources, and motivation necessary to help our clients, and one another, build a great future.Minimum Requirements for All Positions:EthicalPositive and constructiveService focusedTeam playerExcellent communicatorDiligentSelf StarterTech-savvyValue work-life balanceCommitted to continuous learningCompensation, Logistics and PerksCompetitive salaries benchmarked annuallySome positions eligible for incentive bonuses401(k) Plan after 6 months of full-time employment with discretionary match and safe harbor contributionHealth Reimbursement Allowance (HRA) monthly after 90 daysStarting at 120 hours of PTO accrued annually9 Paid holidays annuallyIn-office work at two locations, San Luis Obispo and Templeton, on the beautiful Central Coast of CaliforniaA friendly and transparent work culture that values a work-life balance for all employeesCasual, yet professional office dressFree financial planning and investment management for employee accountsMatching donation to a non-profit, as well as flex time to allow for up to 20 hours of service annuallyChief Compliance OfficerA Chief Compliance Officer (CCO) is responsible for developing and implementing compliance policies and procedures for the firm to ensure we remain compliant with SEC and FINRA regulations. Additionally, a CCO will conduct regular compliance training for employees, stay up-to-date with regulatory changes, review marketing materials for compliance, investigate and resolve compliance issues, and serve as the point of contact for regulatory agencies.A Chief Compliance Officer Focuses On:Ensuring company policies and procedures for the firm are compliantConducting regular compliance training for employeesStaying up-to-date with regulatory changes and ensure the firm remains compliantServing as the point of contact for regulatory agencies and preparing and submitting all regulatory filingsEnsuring that the firm's books and records are properly maintainedRequirements for a Chief Compliance Officer:5+ years of experience in a compliance role within the wealth management industryStrong knowledge of SEC and FINRA regulationsExcellent communication and interpersonal skillsAbility to work independently and prioritize tasksDetail-oriented and able to analyze complex informationProfessional certifications such as CFA or CFP, or a JD degree are a plus#J-18808-Ljbffr