• Chief Operations and Compliance Officer

    Job ID
    210 University Blvd
    # of Openings
    City, State
  • Overview





    Established, respected, and growing in Texas and Colorado.



    Building thriving relationships and leading with a courageous heart.



    Generous 401 (k) plan, paid time off, health benefits, employee programs, and a satisfying work-life balance.



    Financial stability providing competitive salaries, internal growth opportunities, and a business strategy of continuous growth.



    Volunteering and making a lasting impact, building strong, healthy communities.



    Private Capital Management Purpose Statement: To create a positive and meaningful impact in the lives of our clients, our team, and our community.


    Summary of Job Responsibilities:

    Oversees the firm’s operations and compliance activities. 




    Essential Duties:

    • Operations Management
    • Operations process oversight for client service, portfolio administration and office management positions
    • Employee development and training
    • Operational efficiency and improvement
    • Completion of firm integration projects from recent acquisitions/mergers
    • Interface with Firm Advisors on operational and client needs
    • Quarterly reporting/billing preparation and oversight
    • Business reporting to parent company
    • Firm liaison with parent operational departments including Human Resources, IT, Payroll, Accounting/Finance, Marketing and Compliance
    • Compliance Management
    • Ensure the firm complies with SEC rules and regulations appropriate to Private Capital Management
    • Foster a culture of compliance where employees understand the value or honesty and integrity and take compliance issues seriously
    • Keep up to date on regulatory changes, initiatives and modify PCM policies and program as appropriate
    • Educate existing employees on compliance policies and procedures and compliance obligations
    • Train new employees on firm policies and procedures
    • Handle all audits – internal, bank, SOX, SEC regulatory
    • Work with VP Investment and Trust Office on all regular compliance and annual review testing and reporting
    • Interface with bank compliance personnel
    • Interface with outside legal counsel when appropriate
    • Ensures all activities and work functions remain in compliance with requirements as defined in company policies and procedures and state/federal laws and regulations.
    • Strategic Vision and Business Planning
    • Work with Managing Principals on firm vision and business planning definition and initiatives



    Required Qualifications [Knowledge (Education), Skills and Abilities (KSAs)]:

    • Bachelor’s Degree
    • Demonstrated leadership and management experience in the financial services industry
    • Demonstrated compliance experience and understanding of SEC regulations
    • Demonstrated ability to work independently with little direction
    • Demonstrated ability to maintain confidentially and deal with sensitive information in a professional manner.
    • Excellent interpersonal skills
    • Excellent analytical and problem solving skills
    • Excellent verbal and written communication skills
    • Demonstrated attention to detail


    Preferred Qualifications: 

    • Knowledge of Junxure, Portfolio Center, Tamarac and LaserFiche software


    Private Capital Management is host to a diverse group of wealth management professionals. We welcome talented and capable people with a heart for community service, strong personal values, and integrity to join our team.


    To be considered for this position, you must at least meet the basic qualifications.

    No phone calls or direct e-mails please.


    Pre-employment background screening will be conducted.


    Independent Bank is an EEO/AA - M/F/Disability/Protected Veteran Status.


    Note: The job description does not constitute an employment agreement between the employer and employee. The above statements describe the general nature and level of work being performed within this classification. It is not designed to contain or be interpreted as a comprehensive list of all duties, responsibilities, and qualifications required of employees assigned to this job. If you require assistance at any stage of the employment application process due to a disability, please contact Human Resources at 214-544-4777.


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