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Chief Compliance Officer
Internal Sales - Financial Services
Future Career Opportunities
Chief Compliance Officer
Department Dunham & Associates
Career Type Full Time
Dunham & Associates Investment Counsel is a thought leader in the financial services industry. The way we work is a direct reflection of our company culture; we believe in accountability, putting our clients first, and constantly striving for growth. Since 1985, Dunham has grown to become a multi-billion dollar firm. We work with close to 1,400 Financial Advisors across all 50 states.
The Chief Compliance Officer is primarily responsible for ensuring that all appropriate regulatory policies, procedures, and controls are established, maintained, and well-documented for a dually registered broker-dealer and investment adviser based in San Diego, California.
This position requires your presence in the office; remote work is not an option.
ESSENTIAL JOB FUNCTIONS:
Serve as Chief Compliance Officer for the firm’s proprietary mutual funds;
Responsible for Rules 38a-1 and 206(4)-7 annual reviews and FINRA Rule 3120 testing;
Responsible for the firm’s regulatory filings, including Form U-4, Form U-5, Form B/D, and Form ADV;
Responsible for oversight and implementation of relevant SEC and FINRA developments and industry best practices;
Manage and coordinate SEC and FINRA regulatory examinations, including written responses, and interact as needed with regulators on compliance issues;
Provide oversight on preparation of mutual fund board materials;
Provide legal advice and guidance to senior management on a wide range of issues, including but not limited to, mergers and acquisitions, corporate contracts, litigation and claims, corporate issues, business structures and models, tax, employment issues, risk management, and regulatory issues.
Provide guidance, advice, and/or training to improve the organization’s understanding of related laws and regulatory requirements;
Coordinate firm efforts related to audits, reviews, and examinations, and independently investigate and act on matters related to compliance;
Collaborate with C-Level peers to develop and execute strategic long-term plans, fiscal policies, growth strategies, product development, employee development, etc.
Monitor employee activity and electronic correspondence;
Supervise ongoing sub-advisor due diligence program which may include some travel and understanding of the sub-advisory agreements;
Serve as an industry thought leader as company grows and expands.
Bring your drive and a great attitude to Dunham & Associates, and you will have the opportunity to grow with us professionally, personally, and financially. You will be part of a company that promotes from within, cares about your success, and rewards longevity. Additionally, you will receive a base salary and be eligible for our generous commission program.
As an internal mutual fund wholesaler, you will be responsible for making daily sales phone calls to your territory with the goal of increasing sales through partnerships with external wholesalers. To perform this job successfully, the ideal candidate must have the drive to succeed, a positive attitude, and a love for achieving goals. This position requires your in-office presence, and we cannot accommodate working from home.
This position has a clearly defined career path, and we will invest the time and resources to train you.
Some of the duties of the internal wholesaler (Regional Marketing Associate) position include:
Working with the external wholesaler for your region to develop and execute an appropriate business plan to maximize territorial sales;
Establishing and maintaining current and potential client and financial advisor relationships through proactive daily cold calls and occasional webinars;
Presenting and selling Dunham mutual funds, Dunham’s advisory fee program, and trust services to financial intermediaries;
Conducting sales presentations to existing and prospective financial advisors to discuss our investments and services;
Scheduling Regional Director's appointments to ensure productive sales days;
Following-up on new leads and referrals resulting from field activity;
Preparing sales proposals and presentations;
Identifying and resolving client concerns;
Participating in marketing events such as trade shows, seminars and telemarketing events;
Updating and maintaining Client Information System;
Handling incoming phone calls and requests for information, sales and marketing material, and hypothetical illustrations;
Other duties and responsibilities as assigned;
Minimal travel may be required
Current FINRA Series 6 or 7 and Series 65 or 66 license preferred. If you are not currently licensed you must pass the Series 6 or 7 and Series 65 or 66 license within three months of start date;
At least two years of financial/marketing sales experience;
Outbound sales cold call experience preferred;
Computer proficiency in MS Office;
Salesforce experience preferred;
Effective verbal and written communication skills to educate and influence sales;
Prior experience with financial advisor(s) a plus;
Must be self-motivated and willing to make the extra effort to work and train for a highly rewarding professional career;
Dunham & Associates Investment Counsel, Inc. (DAIC) accepts applications for future career opportunities even though there may not be current openings. If you would like to be considered for future positions, please attach your resume and cover letter (optional, but helpful) and answer the few questions attached to this application.
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