We are exclusively representing a fast-growing Investment Advisory firm in their search for a dynamic and accomplished professional to serve as Deputy Chief Compliance Officer in Scottsdale, AZ.
Why Join Us:
- The DCCO will be a key member of the senior management team within the firm and will be groomed to assume the role of CCO.
- Oversee a team responsible for compliance program management, risk assurance, and the coordination and delivery of compliance advice to third-party affiliates as part of an outsourced CCO function.
- This high-profile role will have direct contact with management, independent contractors, regulators, clients, and external vendors.
- Join an organization with a forward-thinking and collaborative culture in a fun work atmosphere.
Principal Responsibilities
- Lead the team responsible for regulatory exams and inquiries and other regulatory affairs; as well as responsible for performing regulatory event (both internal and external) tracking and attendant controls reviews.
- Lead the team responsible for regulatory change management and rule tracking, enterprise policy governance and policy management, compliance training and continuing education, as well as compliance communications to the field and internal business partners.
- Lead the team responsible for overall compliance program management and risk assurance, including the compliance program assessment, compliance risk assessments, compliance testing strategy as well as responsible for overseeing departmental quality control efforts, issue management and overall governance.
- Assist the CCO in ensuring that key projects including rule change implementations, remediation initiatives, regulatory commitments, and control enhancements are appropriately executed.
- Provide strategic guidance and support on special projects to the CCO and Legal team.
- Thorough and efficient identification of issues, structuring and execution of analysis, development of actionable recommendations, and implementation of those recommendations.
Qualifications:
- Undergraduate degree required; JD or CPA highly preferred
- 3+ years management experience leading a team
- 7+ years financial services industry experience, with significant experience in senior level roles in broker-dealer and investment adviser compliance, and/or related legal/regulatory experience required
- Experience leading and motivating a direct report and cross-functional team and influencing others outside of direct reporting relationship
Application Process- Qualified professionals are to submit resume to Jessica Simpson at: jessica@conselium.com
Published by Conselium Executive Search, the global leader in compliance search.
