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
Responsibilities:
- 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
Requirements:
- 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 steve@conselium.com
Published by Conselium Executive Search, the global leader in compliance search.
