Chief Compliance Officer

Position Overview

You spend more than half of your waking hours working. At Western Growers, our mission is to ensure the future viability of our hard-working members—the farmers who sustain our nation’s food supply. As the Chief Compliance Officer, reporting to the Vice President, Investments & President of Western Growers Financial Services (WGFS), you will lead day-to-day compliance operations including oversight of broker-dealer activities, regulatory examinations, training initiatives, and maintaining robust Written Supervisory Procedures. Compensation: $85,919.49 - $116,695.13 along with a rich benefits package that includes profit-sharing.

Key Responsibilities

• Oversee Broker/Dealer compliance, administration, and the supervision of Registered Representatives and Investment Advisers, ensuring adherence to internal controls and regulatory examinations (SEC, FINRA, MSRB, and state regulators).
• Conduct daily surveillance, annual compliance inspections, and prepare as well as deliver compliance training and specialized presentations on new regulations and policies.
• Coordinate with outside securities counsel and internal departments to update Written Supervisory Procedures, Business Continuity, Cybersecurity, and Risk Monitoring plans.
• Manage regulatory licensing, state registrations, renewals, and serve as Corporate Secretary, including oversight of advertising review and filing processes.
• Investigate allegations of improper or unethical conduct, manage Errors and Omission insurance renewals, and collaborate across teams to enhance the competitiveness and profitability of our members.

Required Qualifications

• BA/BS degree and/or 10 years of relevant compliance experience, preferably within regional or national retail brokerage firms.
• Excellent familiarity with the SEC and FINRA environment with a clean U-4 record, holding current licensing for Series 7 (General Securities Rep), Series 24 (General Securities Principal), Series 53 (Municipal Securities Principal), Series 99 (Principal Operations Officer), and Series 66 (Investment Adviser).
• In-depth experience with commission versus advisory business, trading, trade reviews, and DTCC affirmations, including familiarity with OATS/CATS and TRACE reporting.
• Exceptional writing and verbal communication skills with proficiency in spreadsheet, word processing, and calendaring software.
• High standards of integrity, ethical judgment, and excellent multitasking and organizational skills.

Preferred Qualifications

• California Life & Disability Insurance licensing to work with General Agent is preferred.

Benefits & Perks

• Rich benefits package that includes profit-sharing.