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Chief Compliance Officer

2 months ago

Cincinnati, Ohio, United States LHH Recruitment Solutions Full time
Job Summary

LHH Recruitment Solutions is seeking a seasoned Chief Compliance Officer to join our team in Cincinnati, Ohio. As a key member of our organization, you will be responsible for developing, maintaining, and monitoring regulatory compliance standards for our registered investment adviser and broker-dealer clients.

Key Responsibilities
  • Regulatory Compliance: Develop and implement effective regulatory compliance strategies to ensure adherence to federal securities laws and related regulations.
  • Client Relationship Management: Serve as the primary relationship lead for multiple client relationships, leading and directing relevant client communications.
  • Compliance Program Management: Develop and maintain compliance programs, including policies and procedures, to ensure the adequacy and effectiveness of firm policies and procedures.
  • Regulatory Liaison: Serve as the appointed regulatory liaison, managing regulatory audits and exams, and assisting with the firm's response to any external audits, examinations, or other matters.
  • Data Privacy and Cybersecurity: Assist clients in monitoring data privacy and cybersecurity programs, including adherence to Regulation S-P, Regulation S-ID, and other related regulations.
  • Business Development: Lead business development efforts with client prospects and engage in significant client development and related activities.
Requirements
  • Education: Bachelor's degree in a related field.
  • Experience: 8+ years of relevant compliance-related experience.
  • Skills: Extensive knowledge of SEC and FINRA regulations, prior compliance experience with registered investment advisers and broker-dealer clients, and general working knowledge of federal and state data privacy and cybersecurity laws.
  • Qualifications: Ability to develop and implement effective regulatory compliance strategies, excellent skills in understanding complex business processes, and superior client service skills.
What We Offer

LHH Recruitment Solutions offers a competitive salary range of $125,000.00 to $150,000.00 per year and a collaborative work environment.