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.
- 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
· 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.
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