Chief Compliance Officer, Regulatory Expert

2 days ago


Boston, Massachusetts, United States PeopleFluent Full time

We are a Registered Investment Advisory firm seeking a Chief Compliance Officer to 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 our 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
  • Onboard 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

We offer a competitive salary range of $120,000 - $180,000 per year, company-paid benefits package including health, dental, life insurance, disability insurance, and 401(k), and a mid-senior level position.



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