SVP of Risk and Compliance, IMA Advisory Services

Essential job responsibilities include but are not limited to:

• • Serves as the firm-wide resource for all RIA risk & compliance topics
    1. Drives a culture of compliance across IMA Advisory Services, designing, implementing, and evolving systems and processes to identify and mitigate regulatory risks
    2. Serves as named Chief Compliance Officer for regulated entities within IMA Advisors
    3. Works closely with leadership of all RIA functions to ensure that systems and processes are designed with operational and compliance requirements in mind
    4. Starts from a solution-focused posture, focusing on how to achieve business results within legal and regulatory requirements
    5. Carefully balances a partnerly, service-minded relationship with operational staff and an independent, risk-minded stance on behalf of firm leadership
    6. Travels to existing IMA offices as required to build relationships and support teams, and extends/expands compliance infrastructure to new markets
    7. Selects and manages 3^rd party partners to enhance compliance capabilities
    8. Progresses role in conjunction with firm growth, and provides ongoing assessment of compliance resource requirements (i.e., largely an individual contributor on day one, potentially evolving into team leader over time)
    9. Works collaboratively with IMA Advisors management to identify division-wide compliance opportunities and to support divisional growth
  • Training
    1. Works with 3^rd party partners and RIA staff to assess and deliver training programs in multimedia formats, and develops and maintains training courses and content
    2. Onboards new advisors and teams to IMA compliance programs
    3. Is primary resource for compliance questions
  • Analysis
    1. Conducts periodic analysis of client accounts to identify potential compliance issues
    2. Conducts departmental analysis of compliance program elements to identify problems and opportunities to improve efficiency and effectiveness
    3. Researches and recommends new compliance program features/upgrades and coordinates resulting implementation
  • Reporting – Client, Advisor and Department level
    1. Generates periodic and ad hoc compliance reports for RIA and IMA Advisors management, IMA finance, and general business decision support
    2. Assists advisors with client-specific reports and requests
    3. Drives business analytics on firm’s entire book of business to identify trends, concerns and opportunities

include but are not limited to:

• • Bachelor’s degree preferably in finance or related field
  • 10-15 years’ experience in wealth management industry required, focused on operations and compliance and possessing a deep understanding of the operational and compliance functions required in RIA and Broker-Dealer environments; individual insurance experience is preferred
  • Demonstrates high levels of ethical behavior in accordance with professional and industry standards
  • Fosters positive interactions between associates; acts as an example for others
  • Strong communication skills, including the ability to effectively communicate technical information to a non-technical audience and to tailor communications with appropriate context for clients
  • A critical thinker and problem solver with high degree of self-direction and attention to detail
  • Supports and demonstrates IMA’s core values
  • Values and understands the importance of diversity, equity, and inclusion among all IMA associates

Being a part of IMA has its benefits. When you become part of the IMA family, you become eligible to take part in our valuable benefits and rewards package designed to benefit you, your family, and your life. Our plans are cost-effective, convenient and provide progressive ways for staying healthy, protecting loved ones, pursuing financial security and living a full and balanced life.  This role is eligible for the following: 
 
Annual Performance Bonus, Stock Purchase, Medical Plans, Prescription Drugs, Dental, Vision, Family Assistance Program, FSA, HSA, Paid Parking Plan, 401(k), Life/AD&D, Accident, Critical Illness, Hospital Indemnity, Long Term Care, Short-term Disability, Long-term Disability, Business Travel Accident, Identity Theft, Paid Time Off, Flexible Work Options, Paid Holidays, Sabbatical, Gift Matching, Gym, Health Club Reimbursement, Personal and Professional Development.  In addition to our robust benefits package, the hiring range for this position is $140,000 - $190,000 base salary. While this is the targeted range, final offer amounts will depend on a variety of factors, including the candidate’s geographic location, prior relevant experience, and their knowledge, skills, and abilities.
 
 

We’ve built a reputation for putting our associates first

What if we told you that you could be an integral part of an entrepreneurial, expanding company, develop lasting relationships, earn competitive benefits, plus claim part ownership? It’s this unique ownership business model that makes working at IMA so appealing.

 

We work in teams. We sell in teams. We win and prosper as a team

We provide support systems and resources that enable each of our associates to focus on what they do best. And as an independent company based in the Midwest, we’re big enough to write business all over the world and small enough to implement your ideas quickly.
 
We are recognized nationally as a leader in our industry.

• 2021 Business Insurance Magazine Best Places to Work in Insurance, #1 in large category
• 2021 Inc. 5000’s List of Fastest Growing Companies
• 2021 Wichita Business Journal’s Best Places to Work, #1 in extra-large category
• 2021 Puget Sound Business Journal’s Washington’s Best Workplaces
• 2021 Los Angeles Business Journal’s Best Places to Work
• 2021 Denver Business Journal’s Best Places to Work
• 2021 Dallas Business Journal’s Best Places to Work
• 2021 Alaska Journal of Commerce’s Best Workplaces in Alaska
• 2021 Civic 50 Colorado Honoree Recognizing 50 Most Community-Minded Companies
• 2021 Wichita Business Journal’s Fastest Growing Companies List
• 2020 Business Insurance Magazine Best Places to Work in Insurance