Chief Compliance Officer
4 days 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.
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
- Onboarding new personnel with FINRA Registrations/Compliance Meetings/Training Materials/Code of Ethics/Compliance Manual
- Lead person for audits, legal, and business partners for ongoing business changes, and regulatory expectations
- Develop and implement effective surveillance oversight for sales, marketing, trading, products
Requirements:
- Bachelor's Degree
- Strong knowledge of legal requirements
What We Offer:
- Company paid competitive benefits package, including health, dental, life insurance, disability insurance, and 401(k)
- Mid-Senior level
- Full-time
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