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Chief Compliance Officer Leadership Role

2 weeks ago

West Palm Beach, Florida, United States Cardea Group Full time
About the Role

This is an exceptional opportunity to join Cardea Group as a Chief Compliance Officer. As a key member of our team, you will be responsible for managing, augmenting, and implementing the firm's compliance framework to ensure adherence to all relevant regulations and industry best practices.

Responsibilities
  • Oversee SEC-related filings, including Form ADV, Form PF, and other applicable disclosures.
  • Coordinate annual compliance reviews, mock audits, and regulatory examinations.
  • Maintain and update the firm's Compliance Manual in response to regulatory changes and firm-specific needs.
  • Manage outsourced compliance services and ensure seamless collaboration.
  • Provide strategic guidance to senior leadership on potential compliance risks and evolving regulatory requirements.