We are representing a highly profitable PE and Investment firm in their search for a Deputy Chief Compliance Officer.
Why Join Us:
- Firm established for over 20 years with impressive growth, profitability and reputational track record
- Lean, entrepreneurial and viable business with strong investor following
- Top down board level support of compliance program
- Opportunity to drive compliance strategy as business transitions itself to an SEC Registered Investment Advisor
- Culture built on support, compliance and family values
Expectations first 12 months:
- Learn the business and establish yourself as a trusted advisor to colleagues at all levels of seniority
- Assessment and implementation of company-wide compliance policies, procedures, controls and audit standards
- Work alongside CCO in SEC audit process and implement required process changes
- Evaluate and establish uniformity of compliance policy across all business units and PE funds
Responsibilities:
- Reporting to the Chief Compliance Officer, managing the day to day implementation and operation of compliance program across all business units, liaising daily with business leaders and other stakeholders
- Monitoring, testing and reporting results of the compliance efforts of the organization and providing guidance on matters relating to compliance and risk management
- Assist in the continuing transition of the firm from operating as an Exempt Reporting Adviser (ERA) to a fully regulated Registered Investment Adviser (RIA) in accordance with the Investment Advisors Act of 1940
- Refine, review and update the Compliance Manual and Code of Business Conduct and Ethics while collaborating with other departments to direct compliance issues to appropriate channels for investigation and resolution
- Identify areas of compliance vulnerability and risk, develop/implement corrective action plans for resolution of problematic issues and provide guidance on avoiding similar issues in future
- Provide reports on a regular basis to the Chief Compliance Officer and Compliance Committee
- Annually prepare a report on the adequacy and operation of the program, any material compliance matters and violations, changes in policies and/or recommendations in accordance with SEC recommendations
- Institute and maintain an effective communication and training program, including promoting a heightened awareness of the Code of Business Conduct and Ethics within the organization, an understanding of new and existing compliance issues and related policies and procedures, including cybersecurity threats
- Assesses the effectiveness of internal controls, analyze and report forensic testing results, prepare and provide testing verification reports to ensure financial integrity and assets entrusted to the organization are protected
- Assist the Chief Compliance Officer in managing and coordinating all SEC examinations, including responding to information requests on a timely basis
Requirements:
- Extensive investment company RIA compliance experience including exposure to ‘40 Act compliance
- Qualification: Essential Bachelor’s Degree and strong preference for JD
- You will have a proven operational compliance focus, with demonstrable exposure to working independently in a hands-on capacity, as well as to regular communication and presentation to company executives
Application Process for Deputy Chief Compliance Officer – Qualified professionals are to submit Resume to Steve Harrison at: steve@conselium.com
Published by Conselium Executive Search, the global leader in compliance search.
