Chief Compliance Officer
5 days ago
We are seeking an experienced and skilled Chief Compliance Officer to lead and manage all aspects of our compliance program. This position reports directly to our executive team and is responsible for ensuring our firm's compliance with the Investment Advisers Act of 1940 and other securities laws and regulations.
Key Responsibilities- Implement and maintain a comprehensive compliance program to ensure regulatory compliance.
- Conduct annual reviews and risk assessments of the compliance program and report findings to the executive team.
- Test systems and controls to effectively manage and mitigate compliance risk.
- Administer and monitor the firm's Code of Ethics, including attestations, personal trading activities, and reporting of business gifts and outside business activities of Access Persons.
- Proactively identify and assess SEC proposed regulations that may require updates to the compliance program.
- Review and maintain compliance policies and procedures, disclosure documents, and compliance calendars.
- Analyze client investment guidelines to implement and monitor investment restrictions.
- Review and approve marketing-related materials.
- Review and monitor trading processes and trade error corrections.
- Conduct initial, periodic, and annual compliance training to educate and engage employees on compliance policies and procedures, including the Code of Ethics and Fiduciary Duty.
- Prepare and submit all required regulatory filings and disclosure documents in a timely and accurate manner.
- Serve as the primary contact for SEC, state, and other regulatory examiners, as well as the firm's compliance counsel, and respond to all exams/inquiries during regulatory examinations.
- Manage all aspects of the annual custody examination conducted by an independent auditing firm.
- Conduct/supervise periodic reviews of employee firm email communications.
- Work with the IT team on cybersecurity/compliance matters.
- Assist with the firm's insurance programs.
- Periodically attend compliance and regulatory forums sponsored by respected industry organizations.
- Provide support to operations and client service teams, as needed.
- Manage continuing education requirements for IA representatives.
- Foster a culture of compliance and integrity.
- Adhere to high ethical standards, judgment, and discretion.
- Be self-motivated and able to function with a high degree of independence.
- Be proactive and follow up to resolve issues.
- Seek to keep abreast of compliance regulations and best practices.
- Have excellent attention to detail and organizational skills.
- Have strong oral and written communication skills.
- Be able to understand complex regulatory standards.
- Work well in a non-hierarchical environment and be a team player.
- Be willing to assist colleagues with special requests, as needed.
- Have a commitment to learning.
- Bachelor's degree required.
- 5 years or more of working experience for a SEC registered investment adviser in a relevant compliance, legal, or regulatory role.
- Strong knowledge and understanding of the Investment Advisers Act of 1940 and state securities laws, and other related laws and regulations.
- Experience with SEC, state, and/or other regulatory examinations.
- Knowledge of portfolio accounting, order management, and compliance reporting systems.
- Professional compliance designation or Series 65 licenses desired.
- Knowledge of basic Microsoft Office applications, notably Excel.
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