Chief Compliance Officer

Description

You spend more than half of your waking hours working. Make these precious, fleeting moments matter by working for an organization and a cause you can believe in.

Western Growers exists for one reason only: to ensure the future viability of its members – the hard-working, salt of the earth farmers who grow the fruits, vegetables and tree nuts that feed our nation and nourish our bodies. But their way of life, their ability to pass their multi-generational farms and family legacies on to their children and grandchildren, is being jeopardized by a host of threats, many of them beyond their control. They face a growing litany of laws and regulations that make it increasingly difficult and expensive to do business.

Our members depend on us to help them remain competitive and profitable in spite of these trying circumstances, which we do by fighting – heart and soul – for them every single day. We passionately advocate for them in the halls of Congress and on the steps of the state capitol. We actively facilitate the advancement of technology designed to help them become more efficient and less dependent on diminishing resources. We diligently provide health insurance to their farm workers, as well as other insurance solutions tailored to the unique business. We do all of this, and more, from a position of leadership in the agriculture industry, which requires a team of intelligent, inquisitive and innovative individuals sold out for our common purpose.


Compensation: $85,919.49 - $116,695.13 with a rich benefits package that includes profit-sharing.

Job Description Summary

TheChief ComplianceOfficerpositionreportstotheVicePresident,Investments, Western Growers Financial Services (WGFS).Incumbentisresponsible for the day-to-day supervision and activities of the broker-dealer/investment advisor, client accounts and investment administration, broker, and banking relationships.In addition, the positionentails enhancing and maintaining Western Growers Financial Services (WGFS) Written Supervisory Procedures (WSPs), training, licensing, internalcontrols, FINRA Financial and Operational Combined Uniform Single (FOCUS) reporting, Municipal Securities Rulemaking Board (MSRB), G-37, regulatory Exams and annual audits, reviewing SOC 2 Type 1 reports, and any otherregulatoryresponsibilities that arise.QUALIFICATIONS

• BA/BS and/or 10 years relevant compliance experience, preferably at a regional or national retail brokerage firmwitha proventrackrecordpreferred.
• Excellent familiarity with the . Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) environment and have clean U-4 with current Series 7 (General Securities Rep), Series 24 (General Securities Principal), Series 53 (Municipal Securities Principal) Series 99 (Principal Operations Officer) and Series 66 (Investment Adviser)licensing required. Familiar with OATS/CATS, TRACE reporting.
• ValidSeries7,24, 53, 99 and 66licensing.
• Experiencewithcommission vs. advisorybusinessandknowledge of trading, trade reviews & the Depository Trust & Clearing Corporation (DTCC) affirmations.
• CaliforniaLife&DisabilityInsurancelicensing to work with General Agentpreferred.
• Excellentwritingandverbalcommunicationskills.
• Excellentknowledgeofspreadsheet,wordprocessing,andcalendaringsoftware.
• Highstandardsofintegrityandethicaljudgment.
• Excellentmultitaskingandorganizationskills.

DUTIESANDRESPONSIBILITIES

• Identify compliance vulnerabilities and take corrective action.
• Manage Broker/Dealer compliance, administration, overall supervision of Registered Representatives and Investment Advisers, andregulatory examinations; liaison for all regulatory examinations including those of the SEC, FINRA,MSRBandThe Securities Regulation Division of CA and other states.
• Conduct annual compliance inspection of files; performs daily and periodic surveillance of trading activity;researchesandresponds to regulatoryinquiries, routine and special examinations.
• Prepare and conduct compliance training presentations for business personnel, including the annual compliance presentationandspecializedtrainingonnew regulationsandpolicies. Manage, train, and develop Registered Representatives and Investment Advisors; maintain all firm written supervisory materials relating to registered representative (RR) & Investment Advisor (IA) activities.
• Communicate orally and in writing with internal and external customers including employees,registered representatives, clearing firm, company family entities, vendors and maintain effective and excellent customerservicesupportfor all groups.
• Coordinatewithoutside securities counsel if neededandoperatingdepartmentstoensure adherencetolaws.
• Investigate allegations of illegal, improper or unethical conduct by employees or company representatives and address violations.
• Manage renewals of Errors and Omission (E&O)insuranceandother annual policies.
• Update WSPs, Business Continuity Plan, Cybersecurity Plan and Risk Monitoring reviews, review Website and all advertising for WGFS; advise business management on regulatory and compliancerequirements,makingeffectiveuseof informationsystems.
• Assist in preparation of commentaries and liaises with the Finance Department to present the results of the broker dealer in a format consistent with the rest of the firm to executive management andBoardofDirectors.
• Servesas Corporate SecretaryforWesternGrowersFinancialServices, Inc.
• Directstheadvertisingimplementation,review,approval,andfilingprocess.
• Manageall regulatory licensing, state registrations and renewals.
• Perform on-going reviews of the operations, marketing, and compliance areas for their adherence tothe firm’s Written Supervisory Procedures.
• Utilize all capabilities to satisfy one mission — to enhance the competitiveness and profitability of ourmembers.Doeverythingpossible tohelpmembers succeedbybeingcuriousandstrivingtounderstand what others are trying to achieve, planning, and executing work helpfully andcollaboratively. Be willing to adjust efforts to ensure that work and attitude are helpful to others, beingself-accountable,creatingapositive impact,andbeingdiligentindeliveringresults.
• All other duties as assigned.

PHYSICALDEMANDS/WORKENVIRONMENTThephysicaldemandsandworkenvironmentdescribedherearerepresentativeofthosethatmust bemetbyan employee to perform the essential functions of this job successfully. Reasonable accommodations may bemadetoenableindividualswithdisabilitiestoperformtheessentialfunctions.Whileperformingthedutiesofthis job, the employee is regularly required to communicate with others. The employee frequently is requiredto move around the office. The employee is often required to use tools, objects, and controls. This noise levelintheworkenvironmentisusuallymoderate.#LI-Remote