Overview

Highly successful and respected investment management firm seeks a Chief Compliance Office (CCO). The CCO will be responsible for a wide array of important Compliance matters.

What you will do in this role:

  • Develop, enhance, implement and monitor compliance policies and programs.
  • Responsible for regulatory requirements involving the investment adviser, broker-dealer and registered investment company.
  • Supervise the compliance department in conducting daily, periodic and special compliance reviews involving the analysis of relevant documents, information and records and inquiries of knowledgeable personnel.
  • Review, document, organize and maintain accurate and complete records substantiating compliance reviews.
  • Interact proactively with senior management and other departments in designing effective systems, processes and practical business solutions to trading and investing issues.
  • Presents timely reports orally and/or in writing of compliance review findings and conclusions and makes appropriate recommendations for further action.
  • Participate in several inter-departmental committees that address business and risk management responsibilities.
  • Provide practical guidance and advice on regulatory requirements and concerns.
  • Participate in current or prospective client due diligence meetings and prepare responses to compliance-related questions in client requests for information.
  • Serve as the Firm’s liaison with regulators, including the SEC, FINRA, and the NFA, and leads the effort to prepare responses to routine and special requests for information, and manages all regulatory examinations conducted by the Firm’s regulators.

 

Qualifications

  • Undergraduate degree and 10+ years of securities-related experience; legal, accounting and compliance background is preferred.  Advanced degree and experience in an asset management firm preferred.
  • Required Licensing: Series # 7 General Securities Representative, Series # 24 General Securities Principal Examination, Series # 63 Uniform Securities Agent State Law Examination (or equivalent).
  • In-depth knowledge of securities law, with emphasis on regulatory compliance for investment advisors, broker-dealers and investment companies.
  • Strong detail orientation and excellent listening skills.
  • Articulate and persuasive communicator, both verbally and in writing.
  • Must be detail oriented and willing to roll-up-your-sleeves to get the job done.

Please email resumes to Jack Kelly at Jack@ComplianceSearch.com

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