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Chief Compliance Officer Investment Management in Greater Los Angeles

By July 22, 2018 No Comments

We are representing a rapidly growing and innovative investment management firm in their search for a Chief Compliance Officer.

Why Join Us:

  • Award winning investment firm with a focus on customer experience
  • 100% year-on-year AUM growth, 50% headcount growth target for 2018
  • Top down board level support of compliance program and direct reporting line to board members
  • Opportunity to make an impact on and drive compliance strategy
  • Fast moving company focused on technology, efficiency and execution to create a best in class program
  • Business culture built on passion, growth, ambition and inclusion
  • Generous benefits, wellbeing and perks package

Expectations first 12 months:

  • Integrate and establish yourself as a trusted advisor to colleagues at all levels of seniority
  • Conduct a compliance risk assessment, evaluate existing policies and procedures, amend and upgrade as needed
  • Set compliance organizational structure and plan team development and hiring plan as required
  • Empower and educate the broader business, encouraging a collaborative compliance culture


  • Lead and execute the compliance and ethics program, managing a team and planning further hiring as necessary
  • Manage compliance for securities and advisory business lines
  • Liaise directly and maintain relationships with regulators including FINRA and SEC
  • Partner with senior leadership to identify compliance risks
  • Conduct compliance training with new starters and existing team members as required
  • Determine controls and metrics that enable the business to meet compliance obligations whilst ensuring growth
  • Develop new and adapt existing policies and procedures to comply with state and federal law, contract and regulatory requirements
  • Advise senior leadership in real-time on current and forthcoming regulatory impacts to the business – keeping informed via reading, research and regulator relationships
  • Review customer inquiries and complaints – conducting investigations as appropriate and reaching resolutions within a defined process and timescale


  • Extensive financial services compliance experience including broker dealer and advisory
  • Essential qualification: Bachelor’s degree
  • Essential FINRA Licenses: 7, 24 and 66
  • You will demonstrate a strategic and operational compliance focus, including conducting hands-on compliance risk assessments, agency liaison (FINRA, SEC, etc.), training, policy and procedure setting and presentation to board level executives

Relocation Policy: Full relocation package provided by client

Application Process for Chief Compliance Officer – Qualified professionals are to submit CV to Steve Harrison at

Published by Conselium Executive Search, the global leader in compliance search.  

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