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- Company Name:
- CKW Financial Group, LLC
The Chief Compliance Officer (CCO) is responsible for all aspects of a compliance program and for implementing a supervisory system of the program. The CCO will assess the effectiveness of the compliance program and make revisions as necessary. The firm's Compliance Manual sets forth responsibilities that rest with the CCO such as; ensuring that the Compliance Manual is current and accurate. Distribution of the Compliance Manual to employees, act as Chair of the Firm's Compliance Committee and coordinate compliance audits. Approve the initial and continued use of Independent Managers by the Firm. Prepare a written report to the Compliance Committee at minimum annually. Manage regulatory inspections and maintain Firm's registration as an Investment Adviser. Keep Form ADV accurate and current and make timely regulatory filings. Other office management duties. Minimum Financial Industry experience &/or Supervisory experience: 10 years. In addition, the applicant shall also have a minimum of 3 years experience as a Compliance or Regulatory Officer relative to the duties and responsibilities described.