A fixed income investment manager in South Florida is looking for you to join the firm as it's Chief Compliance Officer! This is an exiting opportunity to be with a firm that has been around for 20+ years and is getting closer to $10 billion in AUM. If you are looking to become a Chief Compliance Officer and launch your career to the next level, apply now!
The Chief Compliance Officer will be responsible for:
- Revising and updating the firms internal Code of Ethics on an as needed basis in line with changes to regulations.
- Conducting periodic reviews and testing of compliance programs to identify and address potential areas of non-compliance.
- Monitoring both firm and personal trading.
- Looking over marketing review which includes sales and marketing brochures, social media posts, and other multimedia engagements.
- Experience working on SEC examinations.
- Regulatory filings including Form ADV and PF.
The Chief Compliance Officer should have the following qualifications:
- Bachelor's degree in Finance, Business Administration, Law, or related field; advanced degree preferred.
- JD strongly preferred.
- 7 to 10 years of Compliance experience with an RIA or investment manager.
- In-depth knowledge of SEC, FINRA, and other relevant regulations.
- Strong leadership and communication skills.
- Ability to manage multiple priorities and work effectively in a fast-paced environment.
If what's above matches what the next natural step in your career looks like, don't wait to apply into this Chief Compliance Officer role!
