VP, CCO, Clark Capital Management Group - Full-time

**Essential Duties and Responsibilities** + Manages affiliate specific compliance programs, conducts activity and exception review, continuing education programs, as well as complaint review and response. + Identifies and manages regulatory risks associated with specific division and/or department assigned. + Develops, reviews, and adjusts the department’s supervisory procedures to adapt to changing regulatory and business environments. + Uses data and performance indicators to establish control mechanisms and other improvement initiatives, and ensures quality standards are consistently attained or exceeded. + Leads and manages all aspects of large, complex projects through their entire project lifecycle (initiation, planning, execution, closure). + Develops and sponsors tactics to achieve strategic objectives across functional groups or within a business group. + Establishes objectives and develops processes and procedures to ensure efficient and timely workflow. + Serves as a member of the leadership team in developing short- and long-term goals and initiatives to achieve strategic vision for the compliance department. + Represents Compliance on major firm level projects and/or initiatives. + Works with peers within RJIM Compliance program to provide guidance and support on the work of subordinate supervisors. + Coaches and mentors subordinates, identifies training needs and recommends appropriate development programs. + Develops systems and procedures to minimize the firm’s risk exposure while balancing business concerns. + Maintains the required compliance systems for the firm while fostering a positive relationship with department employees and management. + Responds to and oversees responses to regulatory inquiries. + Manages compliance exams of the firm by various regulatory bodies. + Performs other duties and responsibilities as assigned. **Advanced knowledge of:** + Compliance and legal procedures in the financial services industry. + Concepts, practices, and procedures of the financial services industry. + Retail and clearing firm operations. **Advanced skill in:** + Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally. + Organizational and time management skills sufficient to handle multiple priorities in a fast paced and ever-changing environment. + Project management skills and experience sufficient to successfully complete long and short-term projects. + Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases. **Ability to:** + Manage all levels of associates, including technical, professional, clerical, administrative and supervisory associates. + Plan, assign, monitor, review, evaluate and lead the work of others, coach, and mentor others. + Work under pressure on multiple tasks concurrently, manage those delegated; and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities. + Partner with other functional areas to accomplish objectives. + Organize, prioritize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment. + Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels to accomplish objectives. + Work independently as well as collaboratively within a team environment. *****ACAMS NOT REQUIRED*****