Recruiting and hiring at Ferguson Wellman is typically a result of growth, not turnover. In fact, we are pleased that our clients have benefitted from no turnover on our investment team for the past 25 years and four employees who started as executive assistants have been with us for more than 20 years.
Hiring is driven by our desire to maintain our client-to-employee ratio that helps foster the level of service we provide. We currently do not have any positions open, but if their schedules permit, our professionals are willing to participate in a brief informational interview over the phone or in person about our firm or industry.
We do not have a formalized internship program; however, we have hired interns for specific projects when needs have arisen over the years.
If we have any full-time, temporary or internship positions open in the future, they will be posted on this page.
Chief Compliance Officer
We are looking for a hard-working, bright, creative and pro-active employee who will help our company be better every day. We believe that smart, talented employees can learn the necessary skills and knowledge we need for them to perform their job well.
Prior compliance experience is not required if you are a practicing estate planning attorney with five years of experience or you have been in the investment industry for five years and you have obtained your Chartered Financial Analyst designation.
Specific investment industry compliance experience is a plus. We require a minimum of five years if you do not have your J.D. or C.F.A.
- Monitoring compliance with laws, rules and regulations regarding Registered Investment Advisors and the SEC.
- Monitoring compliance with our company’s compliance policies and procedures.
- Escalating issues to management, as appropriate.
- Monitoring development of/changes in applicable laws, rules and regulations.
- Developing policies and procedures to help ensure our Firm complies with applicable laws, rules and regulations.
- Educating our employees regarding our compliance policies
- Preparing and making all appropriate regulatory filings for the RIA industry with the SEC, states and other regulatory bodies.
- Assisting with drafting responses to client due diligence questionnaires.
- Maintaining all compliance records required by the SEC
Follow and believe in our company’s core values
- Exceed Expectations
- Advocate Innovation and Manage Change
- Act with Uncompromising Ethics and Reliability
- Foster a Collegial Environment
- Enjoy the Journey
- We expect this person to perform duties beyond compliance, which may involve research, participating on our wealth management committee and potentially interfacing with clients.
Attractive Salary and annual company bonus. Salary range to be consistent with experience and potential.
Profit Sharing Plan – typically 15% paid by company of employee’s total comp
Healthcare – fully paid premium
Opportunity for company stock after five years
Send resume and cover letter to Robin Freeman at email@example.com.