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