About Callan Family Office:
Callan Family Office is a rapidly growing, independent Registered Investment Advisor (RIA) with an entrepreneurial mindset. Since our launch in 2022, we have grown to manage over $5 billion of assets for ultra-high net-worth families, foundations, and endowments, while also providing family office administration, advisory, and consulting services. The firm is 100% owned by its partners and in 2024 was recognized by Family Wealth Report Awards as Best New Multi-Family Office.
Position Summary:
The Compliance Officer is a key member of the management team and is primarily responsible for overseeing compliance within Callan Family Office and ensuring adherence to laws, regulatory requirements, policies, and procedures.
Essential Duties and Responsibilities:
To perform this job successfully, an individual must be able to perform the following satisfactorily; other duties may be assigned. Reasonable accommodations may be made to enable individuals with disabilities to perform essential functions.
• Oversee comprehensive compliance program for Callan Family Office that ensures adherence to all applicable laws, regulations, and industry standards.
• Monitor and assess the effectiveness of compliance policies, procedures, and controls.
• Partner with legal counsel to prepare and submit all required regulatory filings and reports on behalf of the firm. These include but are not limited to 13F, 13H, ADV Part 1A, Part 2A, Part 2B, Part 3, Form CRS, and Form N-PX.
• Coordinate regulatory examinations and audits.
• Establish and confirm proper disclosures per SEC requirements for all marketing content, communications, online media, etc.
• Provide guidance, advice, and training to employees.
• Provide strategic direction to the management team on compliance matters.
• Identify and assess risks and develop strategies to mitigate the risks.
• Own compliance monitoring applications including all processes, procedures, audits, and testing required to support these activities and applications.
• Responsible for the development, maintenance, and testing of the firm’s compliance documents including the Compliance Manual, Business Continuity Plan, Information Security Plan, Code of Ethics, and Privacy Policy.
• Foster a compliance and risk consciousness culture by promoting awareness and understanding of regulatory requirements.
• Monitor changes to the regulatory landscape and industry trends affecting RIAs.
Competencies and Skills:
• Demonstrated ability to develop, implement, and manage compliance programs.
• Knowledge of regulatory bodies and compliance issues relating to RIA firms in the wealth management business with an understanding of the risks associated with cyber security and data breaches.
• Anticipate, analyze, and resolve organizational challenges and conflicts.
• Strong communication skills (both written and verbal) with the ability to easily explain complex topics and engage all levels within the organization.
• High-level attention to detail and ability to prioritize work, multitask, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment.
• Displays executive presence.
• Excellent ability to develop solutions, gather and analyze information, negotiate, make decisions, and resolve problems.
• Strong collaboration skills to work and lead in a cross-functional, virtual environment.
• Ability to work closely and collaborate with the technology team to help develop ongoing improvements to our compliance program.
• Effective listening and ability to communicate with presence, clarity, and conviction to influence thinking.
• Willingness to travel for business.
Preferred Education and Experience:
• Bachelor’s degree (required) – Business administration or related field.
• Master’s degree (preferred) – Finance, Business, Marketing, or related field.
• Juris Doctor (preferred).
• 7+ years of relevant experience in compliance.
• 5+ years of leadership experience preferred.
