A registered investment advisor in Miami is looking to hire a Chief Compliance Officer who will report directly to the CEO and be responsible for the oversight and ongoing development of the compliance team and program.
Responsibilities
- Review, enhance, and structure the firm's Compliance control structure to ensure compliance with applicable regulatory requirements
- Conduct, design, and enhance tests of compliance policies and procedures pursuant to Rule 206(4)-7 under the federal securities laws, in particular the Investment Adviser's Act of 1940 (IAA) and other applicable regulatory requirements
- Draft, enhance, implement, and monitor the firm's compliance policies and procedures
- Review all marketing, advertising and client and investor service related materials
- Effectively identify, communicate, and escalate compliance matters
- Handle regulatory filings including Form ADV
- Oversee fund administrator's AML-KYC processes
- Respond to all regulatory exams and inquiries
Responsibilities
- Bachelor's Degree required; Juris Doctor preferred
- Substantial experience working in the investment advisory space
- 5+ years of compliance experience, preferably working at an RIA
