![MATTER FAMILY OFFICE](https://media.trabajo.org/img/noimg.jpg)
Chief Compliance Officer
2 days ago
Matter Family Office is seeking a highly experienced and skilled Chief Compliance Officer to lead and oversee our compliance needs. This is an opportunity to drive a culture of compliance across our organization, designing, implementing, and evolving systems and processes to identify and mitigate regulatory risks.
Key Responsibilities- Compliance Program Development: Develop and maintain a comprehensive compliance program that ensures adherence to all regulatory requirements, mitigates risk, and operates with the highest level of integrity.
- Regulatory Expertise: Provide expert guidance on regulatory matters, including analyzing rulemaking, providing compliance guidance, developing policies and procedures, and training.
- Compliance Software Management: Manage compliance software to track trading, outside business activities, marketing, and advertising.
- Stakeholder Engagement: Work closely with leadership and functional partners to ensure that systems and processes are designed with operational and compliance requirements in mind.
- Culture of Compliance: Foster a culture of compliance across Matter Family Office, promoting a risk-minded approach and encouraging employees to report potential compliance issues.
- Training and Development: Train new employees on compliance-related matters and serve as the firm-wide resource for compliance questions.
- Audit and Risk Management: Conduct periodic audits of client accounts to identify potential compliance issues and research new compliance program features and upgrades.
- Experience: More than 10 years of experience in the wealth management industry, with a focus on operations and compliance, and a deep understanding of the operational and compliance functions required in an RIA environment.
- Education: Bachelor's degree in business administration, finance, or a related field, with advanced degrees or certifications (e.g., JD, IACCP) preferred.
- Skills: Excellent proficiency in Microsoft Office Suite and other commonly used business software, with the ability to learn and develop proficiency with other software as needed.
- Leadership: Exceptional leadership abilities, with a track record of driving operational excellence, strategic planning, and organizational transformation.
- Communication: Excellent communication skills, including the ability to effectively communicate technical information to a non-technical audience and to tailor communications with appropriate context for clients and employees.
- Regulatory Knowledge: Strong understanding of financial markets, investment products, and regulatory requirements governing RIAs, including SEC regulations and fiduciary standards.
- Problem-Solving: Critical thinking and problem-solving skills, with the ability to identify potential regulatory, conduct, and reputational risks and present practical solutions to address and/or mitigate such risks.
Matter Family Office offers a dynamic and supportive work environment, with opportunities for professional growth and development. We are committed to fostering a culture of compliance and integrity, and we are seeking a highly skilled and experienced Chief Compliance Officer to join our team.
-
Chief Compliance Officer for Investment Funds
2 weeks ago
Denver, Colorado, United States ALPS Fund Services, Inc. Full timeChief Compliance Officer for Investment Funds - HYBRIDLocation: Various Locations | HybridAbout the Role:This position serves as the Chief Compliance Officer for select investment company clients. The primary duty is to ensure adherence to Rule 38a-1 of the Investment Company Act of 1940, safeguarding compliance across fund and service providers.Key...
-
Chief Compliance Officer for Investment Funds
2 weeks ago
Denver, Colorado, United States ALPS Fund Services, Inc. Full timeChief Compliance Officer for Investment Funds - HYBRIDLocation: HybridAbout the Role:This role serves as the Chief Compliance Officer for select investment company clients. The primary focus is to ensure adherence to compliance standards as outlined in Rule 38a-1 of the Investment Company Act of 1940.Key Responsibilities:Oversee the development and updates...
-
Chief Compliance Officer for Investment Funds
2 weeks ago
Denver, Colorado, United States ALPS Fund Services, Inc. Full timeChief Compliance Officer for Investment Funds - HYBRIDLocation: HybridTeam Overview:This role serves as the Chief Compliance Officer for select investment company clients. The primary focus is to ensure adherence to Rule 38a-1 of the Investment Company Act of 1940 by both the funds and their service providers.Key Responsibilities:Oversee the development and...
-
Chief Compliance Officer for Investment Funds
2 weeks ago
Denver, Colorado, United States SS&C Technologies Full timeSS&C is a leading global provider of investment and financial services, offering innovative software solutions tailored for the financial services and healthcare sectors. Recognized on the Fortune 1000 list as a top U.S. company by revenue, SS&C is headquartered in Windsor, Connecticut, employing over 20,000 professionals across more than 90 offices in 35...
-
Chief Compliance Officer
5 days ago
Denver, Colorado, United States SS&C Full timeJob SummaryWe are seeking a highly experienced Chief Compliance Officer to join our team at SS&C. As a key member of our compliance team, you will be responsible for ensuring that our investment company clients comply with regulatory requirements.Key ResponsibilitiesOversee the maintenance and updates of compliance programs and summaries of service provider...
-
Chief Compliance Officer for Investment Funds
2 weeks ago
Denver, Colorado, United States ALPS Fund Services, Inc. Full timeChief Compliance Officer for Investment Funds - HYBRIDLocation: HybridAbout the Role:This role serves as the Chief Compliance Officer for specific investment company clients. The primary focus is to ensure adherence to compliance regulations as stipulated in Rule 38a-1 of the Investment Company Act of 1940.Key Responsibilities:Manage and update the...
-
Chief Compliance Officer
3 days ago
Denver, Colorado, United States SS&C Full timeJob DescriptionJob Title: Chief Compliance Officer - Fund SpecialistLocation: Hybrid Work ModelAbout the Role:We are seeking a highly experienced Chief Compliance Officer to join our team at SS&C. As a key member of our compliance team, you will be responsible for ensuring that our investment company clients comply with regulatory requirements, including...
-
Denver, Colorado, United States ALPS Fund Services, Inc. Full timeChief Compliance Officer for Investment Funds - HYBRIDLocation: HybridAbout the Role:This role is pivotal as the Chief Compliance Officer for select investment company clients. The primary focus will be to ensure adherence to Rule 38a-1 of the Investment Company Act of 1940 by both the funds and their service providers.Key Responsibilities:Manage and update...
-
Chief Compliance Officer for Investment Funds
2 weeks ago
Denver, Colorado, United States ALPS Fund Services, Inc. Full timeChief Compliance Officer for Investment Funds - HYBRIDLocation: Various Locations | HybridAbout the Role:This role is designed for a seasoned professional to serve as the Chief Compliance Officer for select investment company clients. The primary focus will be to ensure adherence to Rule 38a-1 of the Investment Company Act of 1940 by both the funds and their...
-
Chief Compliance Officer for Investment Funds
2 weeks ago
Denver, Colorado, United States SS&C Technologies Full timeSS&C is a worldwide leader in providing investment and financial services along with software solutions tailored for the financial services and healthcare sectors. Recognized on the Fortune 1000 list as a top U.S. company by revenue, SS&C is based in Windsor, Connecticut, employing over 20,000 professionals across more than 90 locations in 35 countries. Our...
-
Chief Compliance Officer
5 days ago
Denver, Colorado, United States SS&C Technologies Full timeAbout the RoleSS&C Technologies is seeking a highly experienced Chief Compliance Officer to join our team. As a key member of our organization, you will be responsible for ensuring the compliance of our investment company clients with regulatory requirements.Key ResponsibilitiesOversee the maintenance and updates of assigned funds' Compliance Programs and...
-
Chief Compliance Officer
7 days ago
Denver, Colorado, United States SS&C Full timeJob SummarySS&C is a leading provider of investment and financial services and software for the financial services and healthcare industries. As a Chief Compliance Officer - Fund Specialist, you will play a critical role in ensuring the compliance of our investment company clients with regulatory requirements.Key ResponsibilitiesOversee the maintenance of...
-
Fund Chief Compliance Officer
7 days ago
Denver, Colorado, United States SS&C Technologies Holdings, Inc. Full timeAbout the Role:This position will act in the capacity of Chief Compliance Officer for certain investment company clients. Primary responsibility will be to ensure fund and investment compliance with regulatory requirements.Key Responsibilities:Ensure compliance with regulatory requirements and industry standards.Develop and implement compliance programs and...
-
Chief Compliance Officer
5 days ago
Denver, Colorado, United States Matter Family Office Full timeAbout the RoleMatter Family Office is seeking a highly skilled and experienced Chief Compliance Officer to lead our compliance efforts and ensure we maintain the highest standards of integrity and regulatory compliance.Key ResponsibilitiesMaintain and update our Compliance policies and procedures manual to ensure alignment with regulatory requirements.File...
-
Senior Financial Management Consultant
2 weeks ago
Denver, Colorado, United States Office of the Chief Financial Officer Full timeOverview As a Senior Financial Management Consultant, you will act as a primary Financial Advisor and Project Leader for designated programs within the Office of the Chief Financial Officer. Position Location: General Services Administration, Office of the Chief Financial Officer, Location Negotiable After Selection Vacancy Information: Currently, one...
-
Chief Legal Officer
2 weeks ago
Denver, Colorado, United States COMPOUND Full timePosition OverviewAt Compound Planning, a rapidly expanding digital family office managing over $1 billion in assets, we are seeking a seasoned legal expert to assume the role of Chief Legal Officer and Chief Compliance Officer. This pivotal position involves ensuring adherence to regulatory standards while delivering strategic legal guidance to align with...
-
Senior Financial Advisor
2 weeks ago
Denver, Colorado, United States Office of the Chief Financial Officer Full timePosition Overview As a Financial Management Analyst, you will act as a Senior Financial Advisor and Project Lead for designated programs within the Office of the Chief Financial Officer. Key Responsibilities In this role, you will undertake the following tasks: Serve as a principal financial consultant for assigned programs, engaging in complex and...
-
Chief Operations Officer
2 weeks ago
Denver, Colorado, United States Front Range Community College Full timeCHIEF OPERATIONS OFFICERFront Range Community College is seeking applications for the role of Chief Operations Officer (COO). This pivotal position has been established to enhance the operational framework of the institution.Front Range Community College (FRCC) is dedicated to the academic success of over 27,000 students each year in credit-bearing courses,...
-
Senior Financial Advisor
2 weeks ago
Denver, Colorado, United States Office of the Chief Financial Officer Full timePosition Overview As a Financial Management Analyst, you will act as a Senior Financial Advisor and Project Lead for designated programs within the Office of the Chief Financial Officer. Key Responsibilities In this role, you will be responsible for: Leading complex financial management initiatives with a high level of independence, addressing intricate...
-
Chief Risk Officer
2 weeks ago
Denver, Colorado, United States College Track Full timeChief Risk OfficerAs the Chief Risk Officer at College Track, you will be responsible for providing visionary leadership and managing all facets of risk oversight within the organization. Your daily responsibilities will include identifying, evaluating, and mitigating risks throughout the institution; strategizing and executing responses to significant...