Deputy Chief Compliance Officer - Investment Advisory
Our client is a top-tier Registered Investment Adviser seeking a Deputy Chief Compliance Officer.
The Deputy Chief Compliance Officer is responsible for the implementation of the firm’s investment advisory compliance program to ensure its regulatory and fiduciary obligations are met. The Candidate will report directly to the Chief Compliance Officer of the firm’s Registered Investment Adviser.
The compliance person will be involved in a broad array of compliance matters concerning a multitude of asset management products and services including hedge funds, hedge funds of funds, mutual funds, wrap accounts, separate accounts and structured products.
Key Responsibilities:
• Ensure the on-going development and oversight of a robust and sustainable compliance program
• Advise internal business partners on the regulatory and compliance implications of transactions, strategies and structures within the RIA
• Advise and direct senior management and staff on issues concerning compliance rules, regulations, and procedures
• Ensure strong communication on key issues with other support areas within the organization
• Draft and annually update written policies and procedures that must be designed to ensure compliance with both internal standards and with applicable state and federal laws
• Work closely with internal business partners to implement policies and procedures
• Assist with the management and coordination of investment advisory examinations and regulatory inquiries
• Provide and support robust RIA compliance training to all constituents
• Oversee and directly participate in the maintenance and filings of Forms ADV Part I and Part II
• Assist in the review of marketing materials and Requests for Proposals
• Undertake special compliance-related projects assigned by the CCO
• Draft, update and implement the RIA Code of Ethics program, including reviewing personal trading activity
• Confer with and advise senior management on significant compliance matters and issues
• Assist in coordination of annual review of written compliance policies and procedures as required by Rule 206(4)-7
• Prepare annual written report documenting results of the reviews conducted and reporting other material compliance matters to the CCO and Board of Directors
• Maintain thorough understanding of federal securities rules and regulations governing the investment advisory industry through ongoing education and involvement with industry groups
Qualifications:
• Minimum of five years compliance/legal/leadership experience with expertise managing investment adviser compliance
• Previous experience in one or more of the following: regulator for the Securities Exchange Commission; front or back office experience with an investment adviser; in a regulatory, compliance or business capacity on sales or trading desks; in a transactional capacity; or with a hedge fund, investment adviser or investment company
• Ability to effectively collaborate with multiple stakeholders including legal, internal audit, risk management and other internal business partners
• Broad knowledge of federal and SRO investment adviser laws and regulations
Please send your resume to infoat
