Chief Compliance Officer
Responsibilities:
The Chief Compliance Officer is responsible for identifying and managing industry regulatory compliance issues and the impact it may have on the firm’s trust group, the Registered Investment Adviser and the BSA/AML program. The ideal candidate will develop and maintain internal compliance policies and procedures; work with regulatory agencies to resolve problems and implement new regulatory procedures.
Must be knowledgeable of OCC and SEC rules and regulations and able to execute an annual plan that is in compliance with these rules and regulations. Work with clients, business lawyers, and supervise 2-3 compliance staff.
Qualifications
The ideal candidate for this position will have 5-10 years of compliance experience in the following areas:
Implementing and enforcing a supervisory program to ensure compliance with SEC, OCC and BSA/AML rules and regulations
Establishing and maintaining written policies and procedures designed to ensure adherence with bank, BSA/AML and securities legislation and internal compliance policies
Responding to compliance related inquiries, questions and requests from business personnel
Liaising with and responding to examiners and drafting responses to regulatory inquiries and examinations
Developing and drafting compliance policies and procedures to keep pace with industry and regulatory changes
Delivering ongoing training and education to business personnel about compliance matters
Collaborating on inter-departmental projects with business unit partners
Bachelor's degree required.
Five to ten years of Trust and RIA compliance, preferably working in a trust organization.
Knowledge/ Abilities:
Knowledge of OCC and RIA regulation
Excellent verbal and written skills
Must be able to multi task different initiatives at once, take direction well, and strong follow through skills needed
Ability to work effectively in a team environment
Supervise staff of 2-3 individuals
Proficiency in Excel, MS Word, Outlook
To apply please submit your resume to:
Jack Kelly
JKelly@ComplianceSearch.com
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