Chief Compliance Officer

A company is looking for a Chief Compliance Officer.

Key Responsibilities

Manage investment advisory compliance program in accordance with the Investment Adviser Act of 1940

Conduct regulatory risk assessments and develop compliance policies and procedures

Oversee compliance training, regulatory filings, and lead examinations by external parties

Required Qualifications

Significant experience in investment advisory compliance programs and systems

Detailed knowledge of the Investment Advisers Act of 1940 and ERISA

Minimum of 15 years in the investment management industry, with at least 5 years in a senior compliance role

Four-year college degree; JD or advanced degree preferred

Experience with technology in compliance testing and investment advice delivery