Chief Compliance Officer
Chief Compliance Officer
Our client’s mission is to achieve investment management excellence through disciplined and innovative investment strategies. Building on extensive experience in varied and volatile economic and market environments, they believe these strategies, constantly updated and effectively employed, can potentially reduce risk and achieve strong results. From research into the past, to the realities of the present and the prospects for the future, analysis is the centerpiece of their time-tested investment practice.
The Chief Compliance Officer communicates regularly with financial regulatory agencies such as the SEC, our client’s board of trustees and the firm’s legal counsel. Responsibilities include developing new procedures, updating compliance manuals and training materials, gathering and maintaining compliance certifications for mutual funds and institutional accounts and ensuring that the firm satisfies all regulatory requirements. This individual must display strong leadership, overseeing projects within the department, remaining current on all regulatory matters and overseeing the research and interpretation of investment restrictions.
Qualified candidates will have a Bachelor’s Degree in a Finance (or related discipline) with 10+ years of experience in a compliance or regulatory role in a financial institution. Experience with SEC and other financial regulators is a must, 40 Act (“Investment Advisors Act”) experience is a strong plus. Must have experience in managing junior compliance staff, along with managing multiple tasks/projects and priorities. Strong interpersonal and presentation skills along with great communication skills both verbal and written are also a must.
Our client offers a competitive compensation and benefits package commensurate with experience. Qualified candidates should send a resume with salary history to:
opportunities@creativeworkforce.com
We are an equal opportunity (M/F/V/D) employer.
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