Chief Compliance Officer
About the Company
Pioneering independent investment advisory firm
Industry
Financial Services
Type
Privately Held
Founded
1988
Employees
51-200
Specialties
About the Role
The Company is seeking a Chief Compliance Officer to play a pivotal role in shaping and leading the firm's compliance strategy, particularly in the areas of advisory and OCIO services. The successful candidate will be a key member of the Executive Leadership Team, responsible for the design, implementation, and enhancement of the investment adviser compliance program. This includes overseeing compliance monitoring, testing, reporting, and regulatory filings, as well as developing and enforcing policies to ensure adherence to all relevant laws and regulations. The role also involves managing business and compliance risks, leading a high-performing compliance team, and staying abreast of industry and regulatory developments. Applicants for the Chief Compliance Officer position at the company should have a Juris Doctor degree, a minimum of 10 years' progressive compliance experience, with at least 5 years in a leadership role within an investment advisory or consulting firm. In-depth knowledge of regulatory requirements, particularly the Investment Advisers Act and Rule 206(4)-7, is essential, as is direct experience engaging with regulators such as the SEC. The ideal candidate will have expertise in investment advisory services, with familiarity in alternatives, private funds, and other complex financial products being a plus. The role requires a strategic thinker who can partner with senior leaders, mentor a compliance team, and support the firm in meeting the highest standards of integrity and care.
Hiring Manager Title
President
Travel Percent
Less than 10%
Functions
...passions as they develop their language and academic knowledge. We are looking for a part-time Substitute Teacher to join our Japanese Saturday School. The ideal candidate possesses a balance of high support, growth mindset, and innate joy of working with...
...Description Job Description Class A CDL Regional and OTR Truck Driver If interested... ...and at least 6 months of recent driving experience Must be 24 years of age or older... ...or expression, or any other characteristic protected by federal, state or local laws....
...Position Summary The Training Department Intern supports the training team by assisting... ...Product Launches and Product Launch Videos Schedule all product launches via Zoom... ...After training, download the file for editing by external vendor and then share with marketing...
...Job Description Job Description We are expanding and looking for skilled Carpet Installers or Installer Teams. This position is on a 1099 contractor base. You will complete installation jobs for Floor Coverings International of Southeast Knoxville using provided flooring...
...Description We are looking for Adjunct Faculty to join our team. Living OUTSIDE the... .... The Adjunct faculty will provide online course facilitation for the pre-licensure... ...student count Qualifications # Registered Nurse with current and unencumbered Registered...