Chief Compliance Officer

Location
Chattanooga, Tennessee
Salary
Salary is negotiable, and the Company will offer a relocation allowance.
Posted
12 Oct 2021
Closes
30 Nov 2021
Job Function
Compliance/Regulatory
Employment Type
Full Time
Education
Bachelors

Chief Compliance Officer (“CCO”) for an independent, Registered Investment Adviser (“RIA”) with approximately $2 billion in Assets Under Management (“AUM”).  Bachelor’s Degree is required.  Qualified candidates would include attorneys with securities law experience; experienced professionals who have earned CFA; CPA; and/or CIPM.  Prior or current FINRA registration is not required.  Ideal candidate will have extensive experience with SEC rules and requirements; industry best practices; compliance programs; policies & procedures; and examinations/audits.  CCO will be responsible for a) preparing and updating written policies and procedures on behalf of the Firm; b) monitoring and testing the compliance program through internal reviews and processes; c) developing proficiency with the Firm’s compliance software package; d) ensuring all regulatory filings are updated in a timely and accurate manner; e) implementation of any policies needed to ensure that internal procedures adequately reflect changes in applicable laws, regulations, and administrative positions; and f) being knowledgeable about applicable laws and regulations.  Salary is negotiable, and the Company will offer a relocation allowance.

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