Chief Compliance Officer

7 days ago


New York, New York, United States Arootah Full time

Arootah is a personal and professional development leader in the Investment and Financial Services industry. Our mission is to empower and elevate the performance of individuals and companies through Coaching and Business Advisory services while utilizing cutting-edge SaaS technology.

Our Business Advisory Services focuses on the specific needs of Hedge Funds and Family Offices and leverages 30 years of Rich Bello's experience as Co-Founder and COO of Blue Ridge Capital, one of the most successful hedge funds in the world. Rich is a Wharton graduate and held leadership positions at Morgan Stanley, Tiger Management, and Ernst & Young.

Job Description:

We are seeking a seasoned Compliance Expert to advise our clients on industry best practices. As a Regulatory Compliance Advisor, you will work with our hedge fund and family office clients to provide expert advice and guidance on navigating complex regulatory environments. Your expertise will be invaluable in helping our clients develop and implement effective compliance programs.

Responsibilities:

  1. Work with clients on a part-time, temporary, or ad-hoc basis to solve their most pressing compliance needs.
  2. Help the client develop realistic and effective monthly action plans.
  3. Identify internal and contextual roadblocks.
  4. Break apart goals into actionable steps.
  5. Devise a plan of action for each goal.
  6. Provide the client with resources associated with implementing their action plan.
  7. Teach and mirror successful and positive techniques.
  8. Implement policies, procedures, and control measures.
  9. Evaluate each client's advancement toward goal actualization through key performance indicators (KPIs) and scoring matrices.
  10. Maintain and share detailed and accurate records of consulting results (challenges, breakthroughs, etc.)

Requirements:

  • Specific experience at a financial services or hedge fund firm working with the rules and regulations of the U.S. Securities and Exchange Commission.
  • SEC audits and examinations.
  • Effective written and verbal communication skills.
  • Strong problem-solving and critical thinking skills, with a keen ability to perform GAP analysis and recommend best practices to achieve results.
  • Ability to build rapport and work with people from all over the world.
  • Effective communication.
  • Personable and relatability skills.
  • Basic computer skills.
  • Proficient in Excel and PowerPoint.

Benefits:

  • Work for a well-funded disruptor in the finance, wellness, and technology space.
  • Culture of inspired continuous improvement in all areas of business and life.
  • Autonomy in your work.
  • The ability to work remote.
  • Flexible hours.
  • Access to our Digital Wellness Center, including past webinars, seminar videos, and workbooks.


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