An Investment Management Firm is in search of a highly experienced and self-motivated Chief Compliance Officer to join their team. The ideal candidate will be responsible for ensuring the organization's compliance with all relevant regulatory requirements while demonstrating a deep understanding of compliance and regulatory management within the investment banking sector. This role requires a seasoned professional with a proven track record in navigating complex regulatory landscapes and the ability to work independently.
- Ensure that the firm's investment activities align with client mandates and regulatory requirements. This includes monitoring trading activity, portfolio management, and adherence to investment restrictions.
- Serve as the primary point of contact for regulatory examinations and inquiries, cooperating with regulators, and managing the firm's responses to regulatory requests.
- Manage the filing of required documents and reports with the U.S. Securities and Exchange Commission (SEC).
- Customize compliance efforts to specific investment products and structures, ensuring adherence to relevant rules and regulations.
- Provide compliance training to all employees to ensure their understanding of obligations and responsibilities.
- Minimum of 7 years of experience in compliance and regulatory management within investment banking.
- Preferred 10+ years of experience.
- Proficiency in Charles River Compliance Software.
- IACCP certification is preferred.
- Ability to work independently.
- 401(k) Retirement Savings.
- Flexible Schedule.
- Paid Time Off.
- Medical, Dental, Vision.