Deputy Chief Compliance Officer

Job Summary

A company is looking for a Deputy Chief Compliance Officer, responsible for developing and administering the firm's Compliance Program.

Key Responsibilities

• Assist in the development and maintenance of the firm's compliance program
• Manage compliance projects and oversee internal investigations into compliance violations
• Supervise Compliance Team members and provide coaching and mentoring as needed

Required Qualifications, Training, and Education

• Bachelor's Degree from an accredited institution required
• Current admission in good standing to the State Bar of at least one U.S. state required
• Minimum of 10 years of regulatory compliance experience in the securities industry required
• Minimum of 3 years of supervisory experience required
• Strong understanding of relevant federal securities laws and fiduciary governance principles