Chief Compliance Officer
About the Company
Pioneering independent investment advisory firm
Industry
Financial Services
Type
Privately Held
Founded
1988
Employees
51-200
Specialties
About the Role
The Company is seeking a Chief Compliance Officer to play a pivotal role in shaping and leading the firm's compliance strategy, particularly in the areas of advisory and OCIO services. The successful candidate will be a key member of the Executive Leadership Team, responsible for the design, implementation, and enhancement of the investment adviser compliance program. This includes overseeing compliance monitoring, testing, reporting, and regulatory filings, as well as developing and enforcing policies to ensure adherence to all relevant laws and regulations. The role also involves managing business and compliance risks, leading a high-performing compliance team, and staying abreast of industry and regulatory developments. Applicants for the Chief Compliance Officer position at the company should have a Juris Doctor degree, a minimum of 10 years' progressive compliance experience, with at least 5 years in a leadership role within an investment advisory or consulting firm. In-depth knowledge of regulatory requirements, particularly the Investment Advisers Act and Rule 206(4)-7, is essential, as is direct experience engaging with regulators such as the SEC. The ideal candidate will have expertise in investment advisory services, with familiarity in alternatives, private funds, and other complex financial products being a plus. The role requires a strategic thinker who can partner with senior leaders, mentor a compliance team, and support the firm in meeting the highest standards of integrity and care.
Hiring Manager Title
President
Travel Percent
Less than 10%
Functions
...explore our current job openings. Your best is waiting to be discovered.Rotating - 08 Hour (United States of America)Spanish Medical Interpreter Translator FT - 1.0 FTE - see job description below.**This is a Stanford Health Care job.****A Brief Overview**The primary...
...certified in the state where responsibilities will be assigned: LPN or LVN Current Cardiopulmonary Resuscitation (CPR) and AED certification... ...Medical Support Specialist Two years in a clinical or hospital setting What Takeda can offer you: Every day at Takeda, we...
...and packaging equipment, ensuring compliance with sanitation and food safety standards. Assist with customer questions about bakery... ...availability. Qualifications: Experience in a bakery, food prep, or retail environment preferred. Strong attention to detail,...
...power tools. ~ Ability to prep and install fiber cables into various enclosure types;... ...diploma or GED Requires 4 years fiber optic splicing and troubleshooting experience.... ...interpret results. Must be ETA Fiber Technician certified. Must be able to distinguish...
...The BJC RN Career Ladder differentiates BJC as the place for nurses to work in the greater St. Louis area. This is a tool to empower... ...Education ~ Nursing Diploma/Associate's - Nursing Experience ~ No Experience Supervisor Experience ~ No Experience Licenses...