A highly reputable and growing investment management firm is looking to add a Chief Compliance Officer to its team. The chief compliance officer will be responsible for ensuring that our firm and its employees comply with all applicable laws, regulations, and industry standards. You will also oversee the development, implementation, and monitoring of our compliance policies and procedures, as well as the education and training of our staff on compliance matters.
The ideal candidate will have a strong background in investment management compliance, as well as excellent communication, leadership, and analytical skills. The chief compliance officer will report directly to the CEO and work closely with other senior executives, as well as external regulators and auditors.
- Develop and maintain a comprehensive compliance program that covers all aspects of our investment management business, including portfolio management, trading, marketing, client service, operations, and administration
- Monitor and test the effectiveness of our compliance policies and procedures, and ensure that they are updated and revised as needed to reflect changes in laws, regulations, and industry best practices
- Conduct regular risk assessments and audits to identify and mitigate potential compliance issues and violations
- Provide guidance and advice to senior management and staff on compliance matters, and resolve any compliance questions or concerns
- Educate and train staff on compliance policies and procedures, as well as relevant laws and regulations
- Establish and maintain positive relationships with regulators, auditors, clients, and other stakeholders
- Prepare and submit periodic reports on our compliance activities and performance to senior management, regulators, auditors, clients, and other stakeholders
- Investigate and respond to any compliance incidents or complaints, and implement corrective actions as needed
- Stay abreast of the latest developments and trends in the investment management industry and the regulatory environment
- Bachelor's degree in finance, accounting, law, or related field; advanced degree or certification preferred
- At least 10 years of experience in investment management compliance or related field; experience in a senior or leadership role preferred
- In-depth knowledge of the investment management industry and its products, services, operations, and processes
- Familiarity with the laws, regulations, and standards that govern the investment management industry at the federal, state, local, and international levels
- Proficiency in Microsoft Office applications and other relevant software tools
- Excellent communication, presentation, interpersonal, and negotiation skills
- Strong leadership, management, organizational, and problem-solving skills
- High ethical standards, integrity, professionalism, and discretion
- Ability to work independently and collaboratively in a fast-paced and dynamic environment
If you are interested in this position, please click the link above for immediate consideration!