Chief Compliance Officer

Location
Minneapolis, Minnesota
Salary
Base plus bonus and company profit sharing bonus. Full benefits included.
Posted
Feb 22, 2021
Closes
Mar 24, 2021
Job Function
Compliance/Regulatory
Industry Sector
Asset Management
Employment Type
Full Time
Education
Bachelors

Company Description

Summit Creek Advisors is an employee-owned investment firm based in Minneapolis, Minnesota specializing in Small and SMid Cap Growth strategies.  Founded in 2005 by Portfolio Managers Joseph J. Docter and Adam N. Benson, the firm’s disciplined investment process focuses on investing in high-quality, consistent growth companies while paying close attention to valuation. 

To learn more about our firm please visit www.summitcreekadvisors.com. 

Job Description

Summit Creek Advisor, LLC (SCA) is currently seeking a dedicated Chief Compliance Officer (CCO) to oversee all compliance functions of the firm. 

The CCO provides primary oversight of the investment advisory business of SCA. Responsibilities include developing and maintaining the Compliance policies and procedures and the overall design/maintenance of the Compliance program. The CCO will also be responsible for ensuring that SCA programs comply with regulatory requirements as well as firm policies and procedures. The Chief Compliance Officer will report directly to the Founding Partners of the firm.

Summit Creek believes the ideal candidate for the CCO position has the following attributes:

  • Must be an independent, self-motivated worker
  • Able to adapt and be flexible in challenging situations
  • Strong interpersonal communication skills and a team player
  • Attention to detail and the ability to multi-task
  • Strong written and verbal communication skills
  • Has the ability to oversee the enhancement and implementation of firm processes and procedures 
  • Must maintain client confidentiality and adhere to the firm’s code of ethics

Responsibilities

  • Maintain and update the firm’s Compliance policies and procedures;
  • Administer and monitor the firm’s Code of Ethics
  • Conduct annual compliance training for the firm’s employees
  • Proactively evaluate and update the firm’s risk matrix
  • Perform the review of advertising as necessary
  • Manage regulatory examinations and audits of the firm
  • Stay up to date on regulatory developments and rules implementation
  • Facilitate and monitor employee certifications and reporting requirements
  • Oversee and lead the Compliance Committee
  • Collaborate with other departments to ensure compliance issues are addressed proactively
  • Develop and execute the Compliance testing program of the firm
  • Conduct third party due diligence visits and evaluation

Education and/or Experience

  • Minimum of a Bachelor’s degree (B.A.)
  • At least five years or more of compliance experience
  • Extensive knowledge of the Investment Advisers Act of ‘40
  • Broad knowledge of federal securities laws and regulations
  • Act as the appointed regulatory liaison, managing regulatory audits and exams.
  • Familiar with rules governing compliance with GIPS reporting standards
  • Knowledge regarding advertising review is preferred

Additional Information

To apply, please contact Joe Docter at JDocter@sumcreek.com or call 612-746-8990.