A well-known Wealth Management Portfolio Company is looking for an experienced leader to head up their Compliance Department. They are looking for someone with the potential to quickly grow into a Chief Compliance Officer role.
Responsibilities:
- Oversee the compliance programs for their client services
- Keep track of any new regulations or changes that may have an impact on the business of the firm
- Manage compliance audits and filings for the SEC in each location the Company operates
- Lead the development of policies and procedures
- Operational Due Diligence responsibilities
- Advise on client situations, questions, rules, regulations, and any other compliance matters
Qualifications:
- Bachelor's Degree
- 5 years minimum experience
- Knowledge of IA compliance, such as the Investment Advisors Act of 1940
