Overview

Boutique Investment Manager is seeking an individual to serve as Chief Compliance Officer.

This position will report directly to Chief Operating Officer.

SUMMARY:

The Chief Compliance Officer is responsible for the oversight of all of the compliance programs, functioning as an independent and objective authority that reviews and evaluates compliance issues/concerns within the organization. The Chief Compliance Officer ensures the Adviser is in compliance with the rules and regulations of regulatory agencies, that company policies and procedures are being followed, and that behavior in the organization meets the company’s standards of conduct.

 DUTIES AND RESPONSIBILITIES:

  • Oversee the development of Compliance policy and procedures designed to ensure that the Adviser and the Funds are in compliance with applicable federal and state laws and regulations of the SEC, ERISA, FINRA and various state agencies.
  • Through effective management of staff, oversee the Adviser’s compliance practices in the investment management of the 40 ACT funds, institutional, wealth advisory and wrap lines of business
  • Identifies potential areas of compliance vulnerability and risk and develops and implements corrective action plans as needed.
  • Provides compliance advice and guidance to senior management and as needed, to the firm’s investment professionals.
  • Oversee the preparation of required annual compliance report for Adviser.
  • Responsible for Regulatory filings, including form ADV, 13F,13G and foreign company filings
  • Review and maintenance of Compliance Manuals.
  • Ensure compliance of sales and marketing activities and practices.
  • Oversee the day to day administration of the Firms Code of Ethics for Personal Trading and ensures compliance with advisor policies.
  • Oversee the monitoring of compliance portfolio transactions and trading activity at all locations.
  • Monitors mutual fund and institutional compliance with objectives and guidelines of firm.
  • Oversee maintenance of firm and Fund regulatory and internal records.
  • Assists in contracting process with vendors and clients.
  • Partner with parent compliance in maintaining branch office registration and continuing education requirements
  • Member of the Best Execution Committee and Risks Investment Compliance Committee for firm.
  • Oversee the testing, development and/or revising procedures designed to ensure compliance with the Investment Advisers and Investment Company Acts

QUALIFICATIONS:

  • Minimum Bachelor’s degree plus 10+ years of experience as a compliance officer with an investment adviser specializing in the institutional and fund marketplace.
  • In-depth knowledge of regulations and interpretations under the Investment Adviser Act of 1940 and Investment Company Act of 1940.
  • Broad knowledge of securities’ law including ERISA, FINRA and State regulations
  • Knowledge of portfolio compliance, trading, marketing and back Office
  • Skill in identifying problems/making decisions (e.g. prioritization of tasks; interpretation of rules and policies
  • Experience with the SEC is strongly desirable
  • The ability to form and develop relationships at all levels of the business is a critical element of this position.

 

*Relocation package available as required and will be discussed at appropriate time*

If you are interested in this role, please send resumes to Michael Lane at mlane@compliancesearch.com.

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