Remote Deputy Chief Compliance Officer

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