Chief Compliance Officer Nottingham Financial Group

Overview At Community Financial System, Inc. (CFSI), we are dedicated to providing our customers with friendly, personalized, high-quality financial services and products. Our retail division, Community Bank, N.A., operates more than 200 customer facilities across Upstate New York, Northeastern Pennsylvania, Vermont and Western Massachusetts. Beyond retail banking, we also offer commercial banking, wealth management, investment management, insurance and risk management, and benefit plan administration.Just as our employees are committed to helping our customers manage their finances, we're committed to our employees. After all, they make it happen for our customers every day.To ensure our people can enjoy long and successful careers here at CFSI, we offer competitive compensation, great benefits, and professional development and advancement opportunities. As an equal-opportunity workplace and affirmative-action employer, we celebrate and support a diverse workplace for the benefit of all: our employees, customers and communities. Responsibilities The Chief Compliance Officer provides strategic leadership and oversight for the compliance and regulatory functions of Nottingham Financial Group, the wealth management division of Community Bank. This role is responsible for the design, implementation, maintenance, and ongoing enhancement of a risk-based compliance program across the firm's broker-dealer, Registered Investment Adviser, Trust divisions, and related banking activities.The Chief Compliance Officer directly oversees Compliance staff, and has compliance oversight of associated persons, advisors and trust officers. The CCO works closely with executive management and key business partners to ensure regulatory requirements are translated into effective policies, procedures, controls, training, and governance practices. This position also serves as the primary liaison for regulatory matters and provides clear, actionable reporting on compliance risks, testing results, regulatory developments, and remediation efforts.Essential Job Duties and Responsibilities: * Lead and oversee the compliance and regulatory program for Nottingham Financial Group and affiliated wealth management entities within Community Bank. * Develop, implement, maintain, test, and enforce compliance policies, procedures, and supervisory controls designed to meet applicable regulatory requirements and firm standards. * Oversee and enhance the firm's Compliance Management System, including governance, regulatory change management, risk assessments, monitoring and testing, issue management, remediation tracking, and reporting. * Establish and maintain a risk-based compliance review program covering supervisory practices, advisor activity, sales practices, customer interactions, marketing, communications, complaints, conflicts of interest, outside business activities, and trading activity, including discretionary, brokerage, and managed accounts. * Interpret regulatory requirements and emerging developments and translate them into practical policies, procedures, controls, and training for the business. * Maintain and oversee required disclosure documents and regulatory filings, including Forms ADV, CRS, U4, privacy disclosures, and other applicable filings, ensuring accuracy, timeliness, and consistency with regulatory expectations. * Serve as the primary compliance liaison for the SEC, FINRA, and other applicable federal and state regulators, including management of examinations, audits, inquiries, and related remediation efforts, as well as providing support for compliance and risk personnel regulated by the OCC. * Provide compliance guidance to executive leadership on regulatory obligations, supervisory matters, complaint trends, conduct risk, and potential compliance issues. * Direct issue identification, root cause analysis, corrective action planning, and sustainable remediation of compliance finding