Overview

A well-respected, hundred-year- old, Fortune 500 firm that offers investment advisory, management consulting, insurance and risk management services seeks a Chief Compliance Officer for one of their important divisions.

This mission critical unit is responsible for a number of interesting business lines including raising money for private funds, bond underwritings and trading in niche credit products, and a 401(k) consulting group.

The Chief Compliance Officer will be responsible, in part, for the following:

  • Compliance oversight of the division’s limited-purpose broker-dealer and investment adviser
  • Testing, monitoring, and surveillance of the Compliance program relative to Rule 3120 and Rule 206(4)-7 of the Investment Advisers Act
  • Interact with executive management to discuss the Compliance program and any significant issues
  • Involved with training, reviewing marketing materials, development of policies and procedures, employee trading, anti-money laundering, conflicts of interest, gifts and entertainment, and marketing initiatives.
  • Oversight of bond underwriting, secondary trading activities, and mergers and acquisitions activities.
  • Offer Compliance advise and guidance to the 401(k) Consulting group leaders.

Please feel free to email Jack Kelly at Jack@ComplianceSearch.com

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