Chief Compliance Officer
4 weeks ago
We are a growing Registered Investment Advisory firm located in downtown Boston. Our primary distribution channels are in the US broker-dealer and investment advisor marketplace. We are seeking a Chief Compliance Officer who can provide advisory oversight in all facets of our business.
The ideal candidate will have extensive knowledge of today's compliance environment for RIA's and detailed experience with 1940 Act (Mutual Funds).
Key Responsibilities:
Develop a detailed understanding of firm's business to manage compliance and federal securities law and regulations for mutual funds, separately managed accounts, and variable insurance trusts.
Ensure advertising/marketing materials for products and their use by Sales & Marketing are compliant with applicable regulatory requirements
Requirements:
Bachelor's Degree
Strong knowledge of legal requirements
Requires attention to detail, as well as the ability to work independently
Benefits:
Company paid competitive benefits package, including health, dental, life insurance, disability insurance, and 401(k).
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