Chief Compliance Officer
The CCO will oversee the managed accounts, wrap products, investments and asset allocations. The ideal candidate will support the following: advising on monitoring of Investment Advisor Representatives (IRA), new products, and due diligence of third party providers, financial planning, trading and preparing compliance reports on these activities.
The CCO will also be responsible for assisting IRA with training on compliance related issues and will accompany personnel on IAR visits as necessary.
The individual will be responsible for updating and filing ADV parts 1 and 2 and assisting in developing and reviewing policies and procedures relating to the firms Operations and Standards functions, as well as the EPPM for IARs. The individual will also participate in Investment Management Committee meetings.
Qualifications
- 5-10 years recent compliance experience at an independent RIA or an insurance affiliated retail investment advisor
- Broker-Dealer compliance or operations experience
- Strong interpersonal, verbal and written skills
- Ability to handle diverse assignments and meet deadlines
- BA or BS required, advanced degree preferred
- Series 7 and Series 65
To apply please submit your resume to:
Jack Kelly
JKelly@ComplianceSearch.com
Leave a Reply
You must be logged in to post a comment.