This job ad has been posted over 40 days ago...
www.compliancesearch.com
at Compliance Search Group in Washington, DC Metro Area
Our client is a leading provider of outsourced wealth management solutions for financial advisors and institutions targeting ultra high net worth clients. With approximately $35 billion in assets under advisement, the company offers money manager research and performance reporting services to banks, trust companies and registered investment advisers.
The position will work report to the CFO, Senior Managing Director and will assist in developing, implementing, and maintaining the company’s regulatory compliance program for the investment adviser, affiliated broker dealer, and proprietary funds. The position also will serve as the primary liaison with the firm’s retained compliance advisors and outside counsel.
The firm offers talented individuals the opportunity to work with teams of intelligent, motivated people in a supportive environment with high expectations and meaningful opportunities for personal and career growth.
The Chief Compliance Officer will be responsible for, but not limited to, the following:
• Maintain the company’s compliance manual.
• Maintain and update the compliance policies and procedures applicable to the investment advisor and broker dealer.
• Review and monitor internal processes for compliance with the company’s policies and procedures.
• Assist the firm in assessing inherent risks and conflict of interest in respective business lines.
• Advise on the creation and launch of new products, businesses, vehicles, and structures.
• Supervise registered personnel.
• Oversight of electronic correspondence.
• Provide ongoing support for product specific regulatory requirements.
• Research possible internal violations and recommend corrective action.
• Provide new employees with compliance overview.
• Assist in providing training to employees on regulatory and compliance issues.
• Review advertising and sales literature to ensure compliance with FINRA and SEC requirements.
• Oversee employee personal trading policies and reporting.
• Process CRD/IARD registration-related items.
• Process the company’s annual registrations with state securities’ departments.
• Compile, process, and maintain employee compliance-related files.
• Order, track and process all materials and requirements relating to staff licensing and exam requests.
• Oversee compliance for hedge funds.
• Conduct regulatory and compliance research.
• Act as a liaison to the company’s compliance consultants.
• Serve as liaison with SEC and other regulators for examinations and regulatory inquiries.
• Assist in responding to regulatory inquiries and keep current with relevant regulatory changes.
• Facilitate annual compliance training, meetings and continuing education.
• Conduct branch office audits.
• Other duties and special projects as assigned by the Senior Managing Director.
Candidate Requirements:
Successful candidates will possess the following qualities:
• Self-motivated with close attention to detail and follow-through.
• Excellent oral, written, organizational, and presentation skills.
• Ability to handle multiple projects and deliver quality outcomes within short timeframes.
• Must demonstrate a strong business and financial acumen.
• Professional management skills.
• Exceptional customer service.
• Strong analytical skills and the ability to apply laws and regulations to business situations.
• Ability to think strategically.
• Qualified candidate must be inquisitive and solve problems creatively.
• Ability to learn, adapt, and evolve within the position.
Education and Experience
• Bachelor’s degree required (preferably in finance).
• 4-6 years of a combination of legal, regulatory, or compliance experience.
• Knowledge of FINRA regulations and Investment Advisers Act of 1940 strongly preferred.
• Strong proficiency in Microsoft Office products, specifically Excel and Word.
Please email resumes to Jack Kelly - jkelly@ComplianceSearch.com
Published at 06-07-2010
Viewed: 20 times
Viewed: 20 times