Job Summary
A financial services company needs applicants for an opening for a Remote Deputy Chief Compliance Officer.
Core Responsibilities Include:
- Advising Chief Compliance Officer of regulatory risks, gaps, and problem situations; implement and lead corrective actions
- Managing 38a-1 and 206(4)-7 compliance reporting, overseeing, and contributing to due diligence
- Assisting CCO with enhancing the culture of compliance by meeting regularly with business leader
Skills and Requirements Include:
- Bachelor’s degree in business or related field, or equivalent education and experience
- Minimum of 10 years relevant work experience focused on Registered 40 Act products
- Proficient with all Microsoft Suite applications per Outlook, Excel, and Word
- Strong background alternatives, derivatives, commodities
- Ability to communicate clearly and effectively in a written and oral manner
- Extensive knowledge and understanding of regulatory requirements applicable to US investment managers and broker-dealers
