Our client is seeking to hire a Chief Compliance Officer.

Required Attributes

Extremely well organized

Assertive, must have desire to lead

Willingness to define and perform clerical and routine duties

Required Skills, Experience, Education

Knowledge of SEC compliance & law as it pertains to Registered Investment Advisor (RIA) firms

Demonstrated ability to learn and optimize software for data capture and reporting for compliance, and generally embrace technology

CRM (Tamarac)

Digital Data Storage/archiving (Worldox)

Portfolio management (Portfoliocenter) (Tamarac)

Compliance management (NRS Guardian)

Knowledge of investment industry, vehicles and products

Strong writing and communications skills

Bachelor’s degree or higher

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