Our Client:
This growing financial institution has the a goal to give investors tactics for realizing China's significance as a crucial component of a well-planned investment portfolio. Their team manages about $8.7 billion in assets as of December 2023, aims to offer first-to-market, creative strategies that are derived from the extensive investment expertise of both the company and its partners. Join a cooperative team will put you in the company of driven individuals who are committed to achieving the best outcomes possible. What matters is not your title or background, but rather what you do and how well you do it.
Role Overview:
The Chief Compliance Officer (CCO) will be the candidate's point of contact. The purpose of the position is to support our client's Registered Investment Advisory business and compliance with US and international standards in all areas. The candidate will assist in managing and improving our compliance program, which includes forensic testing, registered representative supervision, marketing reviews, electronic communication reviews, and compliance with the code of ethics. The ideal applicant will be able to recognize and appropriately escalate regulatory and compliance issues, as well as use sound judgment.
Responsibilities:
- Keep up to date and tracking marketing materials for compliance in regards to the Advisors Act as well as UCIT requirements including KIIDS, PRIIPS, factsheets in regards to fund, etc.
- Compliance with the Code of Ethics which includes continuing oversight and consent of outside commercial ventures, social media platforms, political offerings, and personal trading (as well as combining data from two different systems for Registered Representatives)
- Ongoing oversight of service providers, including sub-advisers, fund administrator, distributor and custodian
- Analysis of AML and KYC requests from brokers
- Help with state rosters, U4 evaluations, gift and entertainment reporting, and oversight of Registered Representatives
- Help with Trust CCO and UCITS Management Company checklists and incoming DDQs
- Organize and revise the risk assessment matrix and compliance schedule to meet internal and regulatory needs
- Participate in the compliance forensic testing program's design and oversight
Qualifications:
- Undergraduate degree required
- 3-5 years of experience with Investment Company Act, Investment Advisers Act, SEC, UCITS and/or FINRA Regulations
- Knowledgeable with systems used to monitor Code of Ethics compliance and/or investment guideline compliance (STAR Compliance a plus)
Note:
Our client and its affiliates provide equal employment opportunity to all qualified employees and applicants for employment without regard to age, color, ethnicity, family or marital status, gender, gender identity or expression, language, national origin, physical and mental ability, political affiliation, race, religion, sexual orientation, socio-economic status and veteran status.
