Cannabis Chief Compliance Officer Jobs

Job detailsSalary$80,000 - $150,000 a yearJob TypeFull-timeNumber of hires for this role1Qualifications

• • Bachelor's (Required)

Full Job Description

Merida Capital Holdings - one of the largest PE cannabis firms in the US is registering with the SEC as an investment advisor and we are looking for a CCO/attorney with room to grow with the firm. We have the most professionals with 25 and over $500mm in AUM. We just launched our 4th Fund with a $250mm raise. Their duties include coordinating with company management to identify potential risks, implementing policies and procedures to uphold laws and regulations and monitoring the company’s adherence to those policies and procedures. You will run the entire compliance department and should be well versed in both FINRA and SEC marketing regulations. We are looking for an executive that is innovative, forward thinking, fast moving and can expand their understanding of the intersection between the PE and regulatory landscapes.

The position we are looking to fill:

• Develop internal company policies and see that they are respected.
• Report to management concerning the organization’s compliance with laws and regulations.
• Take action in dealing with noncompliance situations, creating realistic plans to overcome them.
• Identify potential weaknesses and noncompliance situations.

• Education, Training, and Promoting a Culture of Compliance: Develop, enhance, and deliver compliance-related training to all employees, including training specific to rules, regulations, standards, and resources, including required Annual Compliance Meeting, FINRA Firm Element, and continuing education as well as SEC rules and regs
• Policies and Procedures: Formulate, implement and update investment adviser compliance programs and initiatives
• Compliance Supervision, Testing, and Monitoring: Regular, annual, and ad-hoc testing and monitoring of policies and procedures of multiple departments and entities to ensure compliance with applicable regulations
• Compliance Administration (including Registration, Licensing and Employment): Manage the onboarding process of new employees, as well as ongoing support of regulatory-required disclosure of personal securities accounts and transactions, outside business activities, political contributions, and others
• Manage all aspects of marketing compliance
• Maintain the Legal & Compliance Regulatory Calendar and coordinate, update and file investment adviser registrations, disclosures and reports (such as Form ADV, Form D, Forms U4 and U5, Form 13F), and other related requirements
• Assist with third party vendor risk reviews, mitigation, and due diligence
• Audit and Regulatory Examinations: Be the point person in preparing for and executing responses to routine audits and examinations
• Execute appropriate practices for monitoring fund and adviser service providers including initial due diligence and oversight
• Prepare and update regulatory documents

• Liaise with outside counsel on new fund documentation
• Be central point of contact for compliance consultants, outside counsel and any parties related to compliance or legal issues
• Respond to all legal notices, including bankruptcies, subpoenas and other client matters
• Develop, maintain, administer and enhance/update the Firm’s Written Supervisory and Control Procedures and other policies and procedures relevant to its approved product lines.
• Maintain all Firm records in accordance with SEC’s record keeping and retention regulatory requirements.
• Initially, you will have no staff and will have to do all detail work yourself until such time as the firm grows and we can hire additional staff

Required Qualifications:

· Experience with SEC examinations

· SEC and FINRA regulatory and compliance knowledge

· Direct experience with FINRA and SEC exams and advertising/marketing compliance

• Knowledge of regulatory landscape and ability to translate into actionable practices and operations

Nice to Have Qualifications:

• Knowledge of structuring term sheets and closing documents
• Fund and adviser compliance and operations
• JD preferred

Possible career advancement to CLO or GC

Job Type: Full-time

Pay: $80,000.00 - $150,000.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Flexible schedule
• Health insurance
• Paid time off
• Vision insurance

Schedule:

• Monday to Friday

COVID-19 considerations:We are all working remotely at this time and do not have plans to return to the office in 2021. In 2022, we will most likely be in the office 1-2 days a week or maintain full remote working.

Education:

• Bachelor's (Required)

License/Certification:

• law degree (Required)

Work Location:

• Fully Remote

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Job details
Salary
$75,000 - $100,000 a year
Job Type
Full-time
Contract
Full Job Description

Colony Enterprise Authority (Compliance Department)

Position Title: Chief Compliance OfficerSupervisor: Executive Director of Compliance DepartmentFLSA: ExemptStatus: Regular Full-time (Monday-Friday 8:00-5:00 pm.)Salary: $75,000 - $100,000 annually, based upon experiencePosting Date: Beginning February 1, 2021—Open until filled

Position Summary: The incumbent will manage the Compliance Department within the ColonyEnterprise Authority, an agency and instrumentality of the Reno-Sparks Indian Colony (RSIC).The Department is the regulatory body responsible for the licensing, taxation and regulation of all cannabis related activities on RSIC lands. The incumbent will be charged with ensuring that all aspects of the Authority’s cannabis business operations comply with the RSIC MarijuanaOrdinance (Ordinance), the Marijuana Regulations, the State-Tribe Cannabis Agreement, and the internal policies & controls of the Tribe and the Authority. The Executive Director will be responsible for developing and implementing policies, procedures, compliance standards, and regulations in accordance Tribal laws. The standards and procedures will be no less strict than those adopted by the State of Nevada. Further, the Executive Director will ensure that all cannabis activities on RSIC lands (whether production, processing, or retail) are in compliance with applicable law.

Duties and Responsibilities:

1. Develop, implement, review, revise and maintain procedures in order to ensure cannabis companies, workforce and products are in compliance with rules, regulations and compliance standards.

2. Perform licensing and background checks on the employees of companies and issue appropriate licenses in a timely and accurate manner.

3. Conduct diligence and, if approved, license marijuana facilities and operations.4. Impose, collect, reconcile, maintain and report to the Board all taxes and licensing fees related to marijuana operations and transactions.5. Identify potential areas of compliance risk and implement corrective plans for resolution.6. Ensure all METRC tagging, transformation of inventory, and movement of inventory are compliant with the Tribal-State Cannabis Agreement, Ordinance and RSIC Regulations.7. Make certain that the “seed to sale” tracking software is properly selected, implemented and operational to ensure Compliance with applicable law and regulations, including the Tribal-State Cannabis Agreement.

8. Verify that proper testing of cannabis procured and sold on RSIC lands has been performed in accordance with applicable law.

9. Enforce packaging and labeling standards applicable to cannabis products.10. Oversee internal audit.11. Document, track and maintain licensing records.12. Collaborate with external auditors, as necessary.13. Educate and train employees on regulations, compliance standards and industry practices.14. Implement best practices as reflected by compliance and rules changes in the evolving industry-related and state-mandated laws and regulations in the State of Nevada.

Page 1 of 2

15. Oversee any recall and/or health/public safety issues. This includes reporting to government agencies, developing communication to dispensaries and/or consumers, working with the companies to develop a corrective plan.

16. Ensure that all cannabis operations and outlets are compliant with safety and other regulatory standards.

17. Establish plans to manage a crisis or compliance violation.18. Provide timely and accurate financial reports to the Authority.19. Prepare annual budget, propose capital expenditures and develop an operation plan for the

Compliance Department.20. Plan, implement and manage software, systems, controls and policies and procedures for the Compliance Department.21. Complete performance reviews in a prudent manner, as applicable.22. Hire and manage Department staff in accordance with the evolving needs of the

Department and consistent with the Authority’s regulations.23. Performs other related duties as assigned.

Minimum Qualifications:ï‚· Minimum of a Bachelor’s degree in business, management, human resources, criminal justice or related field.ï‚· 5+ years’ experience in regulatory/compliance positions.ï‚· Demonstrated leadership experience.ï‚· Preferred experience in a legal and regulatory industry.ï‚· Must be able to work independently and prioritize multiple projects and tasks.ï‚· Excellent communication and presentation skills, both oral and written.ï‚· Preferred knowledge of cannabis laws, regulations and compliance standards in effect in the

State of Nevada or similar regulatory environment.ï‚· Must be bondable and able to pass a security background check.ï‚· Capable of obtaining a valid Nevada Driver’s License within 6 months but no later than a year.ï‚· Indian preference applies.ï‚· Working knowledge of IT/Business infrastructure and MS Office Products, such as Excel,

PowerPoint and Access, for example.ï‚· Outstanding organizational and leadership abilities.ï‚· Excellent interpersonal and public speaking skills.

Closing Date: Open until filled.

PLEASE NOTE: Hiring preference will be given to qualified members of the Reno-SparksIndian Colony followed by enrolled members of other federally recognized tribes. TheAuthority requires the selected candidate to successfully complete a pre-employment background check, drug screen, and confirmation of professional references.

Page 2 of 2

Job Types: Full-time, Contract

Pay: $75,000.00 - $100,000.00 per year

Benefits:

• Dental insurance
• Health insurance
• Paid time off

Schedule:

• 8 hour shift
• Monday to Friday

COVID-19 considerations:all employees required to wear a mask

Full Time Opportunity:

• Yes

Work Location:

• One location

Benefit Conditions:

• Waiting period may apply

Work Remotely:

• No

COVID-19 Precaution(s):

• Remote interview process
• Personal protective equipment provided or required
• Temperature screenings
• Social distancing guidelines in place

Apply for this job with Colony Enterprise Authority

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By clicking the "Apply now" button, you'll be leaving Fazow and going to an external job application page for this company. Please research all companies before applying. When applying for jobs, you should NOT have to pay to apply. Fazow accepts no liability or responsibility as a consequence of any reliance upon information on external sites or in jobs listed on fazow.com.

The Director of Compliance or Chief Compliance Officer will work closely with the Chief Operations Officer and the General Counsel on the cannabis retail, cultivation, extraction, and distribution business lines to manage and lead all compliance-related matters and activities for the Company.

Responsibilities:

• Remain abreast of relevant industry-related, employment, taxation and other relevant laws and regulations; analyze impact and make recommendations to operations and legal
• Develop collaborative relationships with State representatives and regulators
• In conjunction with operations, work closely with a third-party lab to ensure products are being tested in compliance with applicable regulations. Ensure that the results are communicated and recorded on a timely and accurate basis
• Identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolution of problematic issues and provides general guidance on how to avoid or deal with similar situations in the future. This includes providing guidance to department managers on implementing policy and/or process changes to comply with new and/or changes to regulations
• Leads internal audits to ensure compliance and minimize risks
• Collaborate with team members to identify risks, ensure compliance to OSHA regulations, and ensure loss prevention methods comply with privacy and other applicable laws. This includes implementing training and programs to ensure compliance
• Experience in pharmaceuticals and traditional GMP compliance for pharmaceutical production and regulated agriculture, preferably in controlled agricultural environments.
• Work with the executive team to develop and implement procedures for ensuring absolute legal compliance in all aspects of the Company cannabis operations
• Provide reports on a regular basis, and as directed or requested by leadership regarding compliance programs (implementation and results). Report any violation and/or potential risks to operations and legal in a timely manner
• Oversee any recall and/or health/public safety issues. This includes reporting to government agencies, developing communication to dispensaries and/or consumers, working with the management team to develop a corrective plan
• Evaluate participation in community events and other marketing efforts for risks. Ensure marketing activities comply with federal and/or state regulations
• Maintain compliance with all Company policies and procedures

Requirements:

• Bachelor's Degree in a related field (MS or JD a plus)
• 2+ years of experience in compliance, regulatory affairs and/or risk management
• Cannabis experience preferred
• Experience in pharmaceutical or agriculture industries a plus
• Ability to read, analyze and interpret general business periodicals, professional journals, technical procedures, and governmental regulations
• Ability to write reports, business correspondence, and procedural manuals
• Present information and respond to questions from groups of managers, clients, customers, and the general public
• Define problems, collect data, establish facts, draw valid conclusions and develop solutions.
• Proficiency in MS Office products
• Must have excellent communication, interpersonal and problem-solving skills, attention to detail, strong project management skills, the ability to maintain confidentiality; the ability to work independently and in a team environment; and knowledge of state and federal laws. Must have extensive knowledge of laws and legal issues related to cannabis, manufacturing and healthcare/drug companies.
• Must be able to work under pressure and meet deadlines, while maintaining a positive attitude and providing exemplary customer service
• Ability to work independently and to carry out assignments to completion within parameters of instructions given, prescribed routines, and generally accepted practices

Indeed Hire and Elevation Illinois LLC are working together to find the best candidate for this job.

By applying, you agree to be contacted by our agent, Indeed Hire, and receive updates via text and phone about your application.

Job Type: Full-time

Experience:

• compliance, regulatory affairs and/or risk management: 2 years (Required)
• MS Office: 5 years (Required)
• cannabis industry: 1 year (Preferred)

Education:

• Bachelor's (Required)

Job distance:

• Collinsville, IL: Between 31 and 40 miles (Preferred)

Benefits:

• Health insurance
• Dental insurance
• Vision insurance
• Retirement plan
• Signing bonus
• Paid time off
• Flexible schedule
• Parental leave
• Relocation assistance
• Professional development assistance
• Tuition reimbursement

Schedule:

• Monday to Friday

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Curaleaf Holdings, Inc., (CSE: CURA) (OTCQX: CURLF) the leading vertically integrated multi-state cannabis operator in the United States. It is a high-growth cannabis company with a national brand known for quality, trust, and reliability. The company is positioned in highly populated, limited license states, and currently operates in 12 states with over 40 dispensaries, 12 cultivation sites, and 11 processing sites. Curaleaf has the executive expertise and research and development capabilities to provide leading service, selection, and accessibility across the medical and adult-use markets, as well as the CBD category through its Curaleaf Hemp brand.
The Chief Compliance Officer is responsible for the development, implementation, and oversight of Curaleaf's compliance program. The Reporting indirectly to the General Counsel, President and CEO and to the Audit & Compliance Committee of the Board of Directors. Leads Corporate Compliance and Internal Audit functions organization-wide. Serves as Chief Compliance Officer, responsible for implementing and directing a high quality, effective and visible Corporate Compliance Program, including policies, training, and compliance-issue consultation, investigation and follow up. Oversees all aspects of Compliance Program, including revenue cycle, research, privacy and security and conflict of interest programs.
The Chief Compliance Officer will be responsible for all aspects of the Corporate Compliance program, for all Corporate entities and activities. Oversees development, review and maintenance of compliance policies for the entire enterprise and ensures such policies meet all state and federal requirements.
Note: The scope of "compliance" covers compliance with the specific regulatory regimes applicable to the cannabis industry as well as general health and safety standards imposed by local and federal law.
PRIMARY RESPONSIBILITIES

• Responsible for the development, implementation, and oversight of Curaleaf's "central compliance" function that coordinates with compliance functions of multiple subsidiaries in various states with focus on regulatory compliance with the State laws and regulations governing the emerging cannabis industry
• Promote a corporate culture in which compliance is a key objective in business decision-making and processes and aligned with our core values. Create and maintain reporting system to ensure that central compliance and management is kept informed of critical incidents as well as major compliance issues and challenges at the operating companies.
• Add significant value to the Company by project managing its participation in highly competitive tenders for new State cannabis cultivation, processing, distribution and dispensing licenses
• Provide support to subsidiaries when needed with respect to their applications for additional cannabis licenses applications and license renewals
• Set best practice standard for the compliance programs of subsidiaries and review the programs of subsidiaries to ensure they meet such standards
• Provide guidance to corporate, subs and all employees on compliance matters and pertinent new legal and regulatory developments
• Collaborate with corporate Human Resources to develop and implement compliance training programs for new and existing employees to ensure a thorough understanding and appreciation of the laws and regulations that impact our operations and how to conduct business practices appropriately
• Create and oversee compliance audit and site visit program; oversee the creation and implementation of remediation plans by subsidiaries to address compliance inadequacies and risks
• Advise head office and subsidiaries on specific regulatory matters, including providing input to Government relations on lobbying new laws and regulations, and relations with regulatory authorities

MINIMUM EDUCATION & QUALIFICATIONS

• Bachelor's degree required
• Juris Doctor Degree or other doctorate degree in related field
• Requires significant knowledge and experience in a regulated industry (e.g. healthcare, gaming, alcohol or cannabis)
• Healthcare compliance, auditing and related regulations
• A skilled change agent with sensitivity to the interpersonal, organizational, political, perceptual, and environmental issues, which invariably accompanies changes
• The ability to function in a fast-paced, results-oriented, and data-driven environment
• At least 10 years post-graduate relevant experience, including at least 7 years' in relevant corporate compliance role. Healthcare, gaming, alcohol or cannabis industry experience preferred
• Experience building a compliance department within a small to mid-sized organization preferred. Cannabis business experience not required
• Proven ability to design and implement compliance policies and procedures
• Experience conducting investigations and managing the investigative process.
• Analytical personality with strong organizational skills and attention to detail
• Excellent verbal and written communication skills
• Understanding of and willingness to work within the legalized cannabis industry

Curaleaf is an Equal Opportunity Employer

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