General Counsel & CCO

At Trajan Wealth LLC, we take a strategic approach to building and protecting our clients' wealth and prosperity through customized solutions, financial education, personal attention and honest communication.

We provide 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. Additionally, as an OBA, we solicit fixed insurance such as FIA products. The decisions we make and the advice we provide are always in our client's best interest. Our disciplined and objective investment and financial planning process provides trust and the peace of mind which is so highly valued.

Primary Responsibilities:

Trajan Wealth LLC is seeking a full-time General Counsel - Chief Compliance Officer to develop the company's overall Legal & Compliance strategy. This is a new position for an incoming General Counsel - Chief Compliance Officer who will be working with third party counsel as needed.

The General Counsel - Chief Compliance Officer will be responsible for compliance of the RIA book which account for over $1 Billion in assets.

Responsibilities:

Provide leadership, strategic direction and oversight of the Legal and Compliance function

Drive a culture of compliance throughout the business

Develop and implement organizational policies and procedures

Monitor and review activities of business and support organization to ensure compliance with internal policies and external laws and regulations.

Act as a primary interface with regulators on Compliance matters

Establish and maintain strong working relationships as needed

Identify, facilitate, and/or implement changes to policies and procedures in response to changes in laws and regulations effecting the financial services and insurance industry.

Monitor compliance issues to resolution including issue identification, resolution plan determination and final resolution

Review, amend, and approve any and all marketing mediums which include websites, radio and television advertisements, print and mailers

Requirements:

Juris Doctorate (JD) from an accredited law school

10+ years of experience practicing law in financial markets; preference RIA industry

5+ years of leadership experience

Previous employment experience with SEC or FINRA; highly desired

Technical expertise in FINRA, SEC and state rules and regulations

Experience in auditing, legal and regulatory compliance

High level problem-solving skills are required; problems are technically complex and require the collection, interpretation, and analysis of data from diverse sources

Strong ability to quickly implement strategy and establish previously used systems

Strong business acumen, exceptional problem solving, decision making and analytical skills.

Ability to excel in a fast-paced growing organization

Excellent written and verbal communication skills

Excellent computer skills including Microsoft Office - Word, Excel and PowerPoint

Experience utilizing or ability to quickly learn - TD Ameritrade, Raymond James and Salesforce.

Compensation Package:

Competitive Salary

401K with matching component

United Healthcare PPO Medical - employee portion paid for by the Company

Delta Dental and UHC Vision

Life Insurance, Short-Term and Long-Term Disability options available and much more

Generous holidays and PTO

Come and join a team that is making a difference in their clients' and employees' lives!