A growing Registered Investment Advisor, located in Manhattan, is looking to hire a Chief Compliance Officer to the business. Reporting to the Chief Executive Officer, the CCO will be responsible for overseeing all regulatory compliance for the RIA and running the daily activities of the compliance program.
Responsibilities
- Maintain and update firm's Compliance Manual and Code of Ethics
- Assist with regulatory examinations, securities law matters, reviewing advertising and marketing materials
- Update, test, maintain and develop policies and procedures proactively to meet changing regulatory milestones
- Engage in risk-based-monitoring, communications review and help the firm meet other compliance requirements
- Conduct and oversee all inquiries and regulatory examinations
- Conduct annual compliance review
Requirements
- Bachelor's Degree; Advanced Degree is a plus
- Working knowledge of securities laws, private placements, FINRA rules, SEC rules and AML regulations
- Series 7, 14, 24, 63 licenses
- Minimum of 5 years of compliance experience with an RIA
