Chief Compliance Officer

Job Summary

A company is looking for a Chief Compliance Officer.

Key Responsibilities

• Manage investment advisory compliance program in accordance with the Investment Adviser Act of 1940
• Conduct regulatory risk assessments and develop compliance policies and procedures
• Oversee compliance training, regulatory filings, and lead examinations by external parties

Required Qualifications

• Significant experience in investment advisory compliance programs and systems
• Detailed knowledge of the Investment Advisers Act of 1940 and ERISA
• Minimum of 15 years in the investment management industry, with at least 5 years in a senior compliance role
• Four-year college degree; JD or advanced degree preferred
• Experience with technology in compliance testing and investment advice delivery