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Chief Compliance Officer

2 months ago

Reston, Virginia, United States Fernridge Group Full time

Job Title: Chief Compliance Officer

Company: Fernridge Group

Job Type: Full-time

Industry: Financial Services

Location: Remote (with occasional on-site meetings)

About Us: Fernridge Group is a leading investment firm that specializes in alternative investments. We are seeking a highly experienced Chief Compliance Officer to join our team and lead our compliance program.

Job Summary:

We are looking for a seasoned compliance professional to manage our overall compliance program, develop and implement compliance policies and procedures, and ensure that our firm is in compliance with all relevant regulations and laws. The ideal candidate will have a strong background in securities laws and regulations, excellent analytical and problem-solving skills, and the ability to communicate effectively with all levels of the organization.

Responsibilities:

  • Manage the firm's overall compliance program and develop, review, and update compliance policies and procedures to reflect changes in regulations and industry best practices.
  • Manage and oversee all material non-public information (MNPI) and expert networks.
  • Assist in administering the code of ethics to all employees.
  • Prepare regulatory filings (Form PF, Form ADV 1, 2a, 2b, etc.).
  • Review and approve external communications, including marketing materials.
  • Team with and oversee the firm's outside compliance consultant's work.
  • Manage pre and post-trade reviews.
  • Manage (and assist in the development of) robust risk identification and compliance testing programs.

Qualifications:

  • 10+ years of relevant compliance experience in the investment industry; JD is a plus.
  • Strong knowledge of securities laws and regulations, including the Investment Advisers Act and the Dodd-Frank Act.
  • Excellent analytical, problem-solving, and organizational skills.
  • Effective communication and interpersonal skills.