Chief Compliance Officer – Asset Management recruitment

  The Firm has a safe, value oriented investment style and does not engage in any risky investments. It is a collegial and informal environment.

The company seeks a Chief Compliance Officer (CCO).

The CCO will be responsible for ensuring that the Firm and its employees are in compliance with the laws, rules and regulations by which it is governed. As a federally registered investment advisor, this includes the Investment Advisers Act of 1940 and certain FINRA rules. As an advisor to ERISA plans, the firm also is subject to certain DOL rules and regulations.

Duties:
• Ensure that compliance policies and procedures are comprehensive, robust, current and reflect the firm’s business processes and conflicts of interest;
• Keep current the compliance calendar that identifies all important dates by which regulatory, client reporting, tax and compliance matters must be completed and ensure that they are completed on time and properly;
• Ensure that all persons within the firm are trained in compliance-related matters and are performing their various functions in compliance with the rules, regulations and firm’s best practices;
• Ensure that there is a timely and appropriate review of material and repetitive compliance issues;
• Ensure that the quality control testing is conducted as appropriate to detect deviations of transactions from policies or standards and that results of such test are promptly addressed;
• Conduct the firm’s annual compliance review and ensure that recommendations that flow from the review are implemented in a timely fashion;
• Act as the primary point person in any internal compliance audit and SEC audit;
• Conduct quarterly compliance committee meetings with senior management;
• Conduct annual compliance committee meetings with all employees (or more frequently when required);
• Prepare and file Form ADV, 13F, 13G and other regulatory filings;
• Oversee that proxy voting is done in compliance with internal proxy voting policy and procedures;
• Keep up-to-date on regulatory matters (attend seminars, etc.);
• Work with in-house and outside counsel.

To apply please submit your resume to Jack Kelly  - Jkelly@compliancesearch.com