Overview

JOB SUMMARY:

Our client offers a unique blend of asset management, technology solutions, RIA services for financial professionals and their client.

The firm seeks a Chief Compliance Officer to oversee these areas.

 

JOB RESPONSIBILITIES: 

  • Examine  policies, procedures, and practices to ensure compliance with laws and regulations.
  • Stays abreast of changes to federal and state securities laws and regulations affecting the management, operations, and product offerings of the company.
  • Coordinates with legal counsel and operating departments to ensure adherence to laws and regulations relating to new or revised products and services offerings.
  • Oversees the revision, preparation, and dissemination of new and updated compliance standards and procedures.
  • Coordinates, supervises, and supports the firm’s compliance-related programs, such as compliance training, compliance testing and reporting, disaster recovery, contingency planning, and records warehousing and destruction.
  • Arranges compliance audits and informs the Compliance Committee of audit results.
  • Informs and advises management of conditions and status of the company’s adherence to laws and regulations.
  • Consults with and advises operating units and managers affected by compliance issues and regulatory requirements.
  • Supervises the preparation and answer of due diligence requests to the Firm
  • Prepares and issues required compliance reports internally and externally.
  • Serves as the principal contact and prepares responses to inquiries of regulators and client concerns or complaints

 

 

SUPERVISORY RESPONSIBILITIES:

· Supervise other compliance personnel in performing all compliance related duties.

·Supervise and report upon the capabilities of outside resources and outside counsel to the CEO.

 

QUALIFICATIONS:

Education: Bachelor’s Degree, Graduate Degree preferred

Experience:  Substantial compliance management experience in investment industry

Please email resumes to Jack Kelly at Jack@ComplianceSearch.com

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