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Chief Operations Officer

Company: Benchmark Financial Wealth Advisors, LLC
Location: Boca Raton
Posted on: August 31, 2020

Job Description:

Company DescriptionBenchmark Financial is a SEC Registered Investment Advisor that assists individuals, families, and business owners with their financial planning, investment and insurance needs. We are an independent firm, affiliated with 150 person local CPA firm.Job DescriptionBenchmark Financial is currently seeking a highly focused and experienced Chief Operations Officer to oversee the RIA firm.--This position is best suited for an individual with a multi-disciplinary skillset, life-work balance outlook and interested in growth.--COO will report directly to the Managing Partner.The Chief Operations Officer will provide primary oversight and supervision of all the Investment Advisors. Responsibilities include maintaining policies and procedures and the overall design/maintenance of the advisory services compliance program. The COO will be responsible for ensuring that Benchmark Financial reporting complies with regulatory requirements as well as firm policies and supervisory procedures. The COO will also provide financial reporting, firm billing to the Managing Partner and CFO.ESSENTIAL RESPONSIBILITIESAct as our appointed SEC regulatory liaison, managing regulatory audits and examsFollows our overall strategic vision for the compliance functional areas of RIAResponsible for advisory agreement, ADV, marketing, email and trade reviewsManage and mitigates risk, establish and maintain proper controls, and protects the company from legal and regulatory riskWorks with HR to review and modify firm handbook, including appropriate introductory training for new employees as well as ongoing training for all employees and managersConduct mock regulatory audits covering registration, financial statement analysis, product line review, conflicts of interest and risk management.Set up and maintain advisory billing for each client account through existing technology platform and reconcile when completedPrepare quarterly advisor fee revenue and communicate with advisorsMaintain firm customized household date and segmentation reporting--SUCCESS AT BENCHMARKHas ability to oversee the enhancement and implementation of firm operational processes and proceduresAbility to work independently in a fast-paced environmentPossesses a passion to help team members and clientsStrong process and planning orientationMust maintain client confidentiality; demonstrate integrity and code of ethicsAccountable, adaptable, and flexibleStrong attention to detail & ability to multi-taskExcellent verbal and written communication skillsHigh level of team orientation; strong interpersonal communication skills------------------Committed to the best interests of our clients--Qualifications?EDUCATION AND/OR EXPERIENCE:Minimum of a Bachelor's degree (B.A.) from four-year College or University5 years or more in compliance experienceKnowledge of federal and state securities laws and regulations.Experience with the current and proposed regulatory environment (SEC and ERISA)Ability to understand and evaluate company financial statements and accounts; strong financial analysis skillsWorking knowledge of investments, insurance, 401(k)'s and how it pertains to investment advisors and their clients is required--Above average proficiency in Microsoft Office suite, MS Power Point and all aspects of ExcelExcellent written and interpersonal communication skillsEnergetic and enthusiastic individual with the ability to work on their own initiative with minimal supervisionExperience with Redtail CRM, Orion Advisor Solutions, Fidelity Investments and Charles Schwab or similar programs is valued but not mandatory--Additional InformationTo learn more about our firm please Financial is an Equal Opportunity Employer

Keywords: Benchmark Financial Wealth Advisors, LLC, Boca Raton , Chief Operations Officer, Executive , Boca Raton, Florida

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