Chief Compliance Officer
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.