A long-established investment management firm that is owned, in part, by a well-recognized private equity shop, seeks a Chief Compliance Officer (CCO) for their broker-dealer division.
The CCO will oversee and manage all the daily Compliance functions of the limited purpose broker-dealer.

Important Responsibilities:

• Oversight and management responsibilities of the broker-dealer operations, and partner with Legal and executive management with respect to all regulatory developments, requirements and proposals as applicable;
• Coordinate with the business to ensure effective controls are in place to meet regulatory requirements; provide advice to management on how to comply with the laws and regulations; monitor the business units’ performance with compliance, and alert management to compliance gaps and issues;
• Involved with the Compliance review and approval of advertising, sales literature, and marketing materials;
• Draft and update the Written Supervisory Procedures;
• Responsible for compliance monitoring and testing related to FINRA Rule 3012;
• Responsible for the firm-wide training and education program; which include annual compliance meeting;
• Involved with responses to regulatory exams and inquiries, investment adviser compliance matters and issues, including investment adviser regulatory filings and client guideline monitoring;
• Actively identify risks and facilitate their mitigation to acceptable levels, and the Personal Trading System for monitoring employees’ personal securities transactions;
• Review advertising and marketing materials to ensure compliance with regulations;
• Prepare or assist in preparation of regulatory filings; and
• Assist on special projects and ad hoc assignments.


• Limited purpose Broker/dealer compliance experience, with the ability to interpret applicable regulations, required;
• Mutual fund and/or investment adviser compliance experience required, with the ability to interpret applicable regulations required;
• Knowledge of the Investment Advisers Act of 1940, and Investment Company Act of 1940;
• Strong knowledge of FINRA
• Minimum of 5 years relevant job experience, including mutual fund distribution experience (either at a broker/dealer or investment advisory), experience working with advertising/ marketing issues, and experience writing policies and procedures
• Bachelor’s degree required;
• Series 7 & 24 licenses.

Please email resumes to Jack Kelly – JKelly@ComplianceSearch.com

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