Head of Compliance
2 months ago
About Coda Search│Staffing:
We are a leading staffing agency specializing in placing top talent in the financial services industry. Our expertise lies in understanding the unique needs of our clients and providing them with exceptional candidates who can drive their business forward.
Job Title: Head of Compliance
Job Summary:
We are seeking an experienced Head of Compliance to join our client, a well-respected Investment Manager in the financial services industry. The successful candidate will be responsible for developing and implementing a comprehensive compliance program that aligns with the SEC Advisory Act rules and regulations.
Key Responsibilities:
- Compliance Program Development: Establish and enforce a robust compliance program that meets the requirements of the SEC Advisory Act rules and regulations.
- Policy Implementation: Oversee the implementation of existing compliance policies and procedures to ensure alignment with regulatory requirements.
- Mock Audits: Conduct regular mock audits to prepare for SEC registration and ensure compliance with regulatory requirements.
- Monitoring Systems: Implement and manage monitoring systems for communication, personal trading, investor materials, and other compliance matters.
- Regulatory Liaison: Serve as the primary point of contact with various regulatory bodies, including the SEC.
- Risk Management: Work closely with senior leadership to integrate risk management into the business strategy.
- Compliance Support: Provide guidance and support to other departments on compliance-related issues.
Requirements:
- Education: Bachelor's degree in Law, Business, or Finance.
- Advanced Degree: Advanced degree, such as MBA or JD, preferred.
- Experience: 5-10 years of experience in compliance within financial services (PE or RE preferred).
- Expertise: Expertise in SEC regulations and the Investment Advisers Act of 1940.
- Program Development: Experience in developing and implementing firm-wide compliance programs.
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