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Chief Compliance Officer

2 months ago

Austin, Texas, United States Live Oak Investment Partners Full time
Job Summary:

We are seeking an experienced Chief Compliance Officer to lead our Registered Investment Advisory compliance efforts and ensure we operate within the bounds of relevant laws and regulations. The ideal candidate will have a strong background in compliance, leadership, and project management, with the ability to drive process improvements and manage complex compliance initiatives.

Key Responsibilities:
  • Manage SEC audits and ensure compliance with relevant regulations.
  • Develop and implement policies and procedures to prevent compliance violations.
  • Develop and regularly update the firm's Code of Ethics.
  • Maintain a current compliance manual and ensure the firm is following it closely.
  • Offer ongoing education and training for all team members, especially as new rulings are established.
  • Serve as the firm's internal reference for any compliance-related questions or issues, as well as a contact person for external compliance questions.
  • Document all processes and procedures related to compliance.
Requirements:
  • Proven experience as a Chief Compliance Officer or in a similar role, with a strong understanding of SEC compliance regulations and industry standards.
  • A bachelor's degree in a relevant field, such as law, business administration, or a related field (not required but preferred).
  • At least 5 years of experience in compliance at a Registered Investment Advisory firm, with a strong background in project management, operations management, and business development.
  • Experience in leadership roles, with a track record of successfully managing cross-functional teams and driving process improvements.
  • Excellent negotiation and communication skills, with the ability to effectively collaborate with individuals at all levels of the organization.
  • Experience in strategic planning, with a focus on ensuring compliance with regulatory requirements.
  • Experience in managing budgets and developing corrective actions to address compliance risks.
Preferred Qualifications:
  • Strong project management skills, with the ability to lead complex compliance initiatives and manage multiple projects simultaneously.
  • Experience in operations management, with a focus on process improvement and streamlining compliance processes.
  • Excellent negotiation skills, with the ability to effectively negotiate with regulatory agencies and industry organizations.
  • Strong leadership skills, with experience in senior leadership roles and a track record of successfully managing cross-functional teams.
  • Experience in business development, with a focus on identifying and mitigating compliance risks.
  • A strong understanding of compliance regulations and industry standards, with a focus on ensuring compliance with relevant regulations.
  • Experience in process improvement, with a focus on identifying areas for improvement and developing corrective actions.