Western Growers
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 to ensure the future viability of its members – hardworking farmers who grow fruits, vegetables and tree nuts that feed our nation. Our members rely on us to remain competitive and profitable in a challenging environment, while we advocate on their behalf, provide insurance solutions and offer a rich benefits package.
Compensation:
$85,919.49 – $116,695.13 with profit‑sharing and a comprehensive benefits package.
Job Description Summary The Chief Compliance Officer reports to the Vice President, Investments & President of Western Growers Financial Services (WGFS) Inc. The incumbent is responsible for the day‑to‑day supervision and activities of the broker‑dealer/investment advisor, client accounts, investment administration, broker and banking relationships. The role enhances and maintains WGFS Written Supervisory Procedures (WSPs), training, licensing, internal controls, FINRA and municipal securities reporting, regulatory exams and audits, SOC 2 Type 1 reviews, and other regulatory responsibilities.
Qualifications
BA/BS and at least 10 years of relevant compliance experience, preferably at a regional or national retail brokerage firm with a proven track record.
Excellent familiarity with the U.S. Securities and Exchange Commission (SEC) and FINRA environment; clean U‑4 with current Series 7, 24, 53, 99 and 66 licensing required. Familiarity with OATS/CATS and TRACE reporting.
Valid Series 7, 24, 53, 99 and 66 licensing.
Experience with commission versus advisory business and knowledge of trading, trade reviews, and DTCC affirmations.
California Life & Disability Insurance licensing preferred for general agent work.
Excellent writing and verbal communication skills.
Strong proficiency with spreadsheet, word‑processing and calendaring software.
High standards of integrity and ethical judgment.
Excellent multitasking and organization skills.
Responsibilities
Identify compliance vulnerabilities and take corrective action.
Manage broker‑dealer compliance, administer registrations of Registered Representatives and Investment Advisers, and oversee regulatory examinations; liaison for SEC, FINRA, MSRB, and state regulators.
Conduct annual compliance inspections and perform daily and periodic surveillance of trading activity; research and respond to regulatory inquiries and examinations.
Prepare and deliver compliance training presentations for business personnel, including annual compliance and new‑regulation briefings.
Communicate orally and in writing with internal and external customers – employees, representatives, clearing firms, vendors, and families.
Coordinate with securities counsel and operating departments to ensure adherence to laws.
Investigate allegations of illegal, improper or unethical conduct and address violations.
Manage renewals of Errors & Omissions (E&O) insurance and other annual policies.
Update WSPs, Business Continuity Plan, Cybersecurity Plan, and risk‑monitoring reviews; review website and advertising for compliance.
Assist in preparing commentaries and liaison with Finance for executive management reports.
Serve as Corporate Secretary for WGFS Inc.
Direct advertising implementation, review, approval, and filing processes.
Manage all regulatory licensing, state registrations and renewals.
Perform ongoing reviews of operations, marketing and compliance areas for adherence to firm's WSPs.
Utilize all capabilities to enhance competitiveness and profitability of members, working collaboratively and being self‑accountable.
All other duties as assigned.
Physical Demands and Work Environment The employee is regularly required to communicate with others, move around the office, use tools and operate equipment. The noise level is usually moderate. Reasonable accommodations may be made for individuals with disabilities to perform essential functions.
Seniority level Executive
Employment type Full‑time
Job function Legal
Industries Non‑profit Organizations
#J-18808-Ljbffr
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 to ensure the future viability of its members – hardworking farmers who grow fruits, vegetables and tree nuts that feed our nation. Our members rely on us to remain competitive and profitable in a challenging environment, while we advocate on their behalf, provide insurance solutions and offer a rich benefits package.
Compensation:
$85,919.49 – $116,695.13 with profit‑sharing and a comprehensive benefits package.
Job Description Summary The Chief Compliance Officer reports to the Vice President, Investments & President of Western Growers Financial Services (WGFS) Inc. The incumbent is responsible for the day‑to‑day supervision and activities of the broker‑dealer/investment advisor, client accounts, investment administration, broker and banking relationships. The role enhances and maintains WGFS Written Supervisory Procedures (WSPs), training, licensing, internal controls, FINRA and municipal securities reporting, regulatory exams and audits, SOC 2 Type 1 reviews, and other regulatory responsibilities.
Qualifications
BA/BS and at least 10 years of relevant compliance experience, preferably at a regional or national retail brokerage firm with a proven track record.
Excellent familiarity with the U.S. Securities and Exchange Commission (SEC) and FINRA environment; clean U‑4 with current Series 7, 24, 53, 99 and 66 licensing required. Familiarity with OATS/CATS and TRACE reporting.
Valid Series 7, 24, 53, 99 and 66 licensing.
Experience with commission versus advisory business and knowledge of trading, trade reviews, and DTCC affirmations.
California Life & Disability Insurance licensing preferred for general agent work.
Excellent writing and verbal communication skills.
Strong proficiency with spreadsheet, word‑processing and calendaring software.
High standards of integrity and ethical judgment.
Excellent multitasking and organization skills.
Responsibilities
Identify compliance vulnerabilities and take corrective action.
Manage broker‑dealer compliance, administer registrations of Registered Representatives and Investment Advisers, and oversee regulatory examinations; liaison for SEC, FINRA, MSRB, and state regulators.
Conduct annual compliance inspections and perform daily and periodic surveillance of trading activity; research and respond to regulatory inquiries and examinations.
Prepare and deliver compliance training presentations for business personnel, including annual compliance and new‑regulation briefings.
Communicate orally and in writing with internal and external customers – employees, representatives, clearing firms, vendors, and families.
Coordinate with securities counsel and operating departments to ensure adherence to laws.
Investigate allegations of illegal, improper or unethical conduct and address violations.
Manage renewals of Errors & Omissions (E&O) insurance and other annual policies.
Update WSPs, Business Continuity Plan, Cybersecurity Plan, and risk‑monitoring reviews; review website and advertising for compliance.
Assist in preparing commentaries and liaison with Finance for executive management reports.
Serve as Corporate Secretary for WGFS Inc.
Direct advertising implementation, review, approval, and filing processes.
Manage all regulatory licensing, state registrations and renewals.
Perform ongoing reviews of operations, marketing and compliance areas for adherence to firm's WSPs.
Utilize all capabilities to enhance competitiveness and profitability of members, working collaboratively and being self‑accountable.
All other duties as assigned.
Physical Demands and Work Environment The employee is regularly required to communicate with others, move around the office, use tools and operate equipment. The noise level is usually moderate. Reasonable accommodations may be made for individuals with disabilities to perform essential functions.
Seniority level Executive
Employment type Full‑time
Job function Legal
Industries Non‑profit Organizations
#J-18808-Ljbffr