Senior Compliance Officer

Profile

Senior Compliance Officer
The candidate will conduct and direct compliance risk oversight of assigned business units (Registered Investment Advisors) and/or functions. Lead and execute compliance risk management activities to reasonably ensure compliance with the Enterprise Compliance Management Policy and Framework. Perform ongoing testing and reviews of RIA policies, procedures, products and operations pursuant to SEC Rule 206(4)-7. Participate and contribute to various RIA compliance and risk management initiatives, committees and working groups. Analyze and provide guidance on complex compliance risks within the RIA business units and/or functions. Serve as primary subject matter expert to the asset management division (Investment Advisory Group) of the RIA. Implement strategies and methods related to the compliance risk management framework within the organization, including quality assessments, key risk, and performance measurement data, along with oversight monitoring and mitigation strategies. Partner with LOB leaders and other senior the firm teammates to execute on key strategic initiatives for the company, providing counsel and oversight in a collaborative, business savvy and team-first manner. Complete assigned tasks and projects from the Deputy RIA Chief Compliance Officer. Bachelor's degree in Business, Economics, Finance, or Accounting, or an equivalent combination of education and work experience is required. Should have 8+years of financial institution experience. Should have 5+years of direct experience in compliance. MBA, Juris Doctorate or other advanced degree is preferred. Should preferably have 10+ years of RIA Compliance Experience. Should preferably have 8+ years of compliance experience, with 5+ years at medium to large financial institution. Prior supervisory or management experience is a plus. Should be certified Regulatory Compliance Manager (CRCM). Series 7, 24 and 65 license is preferred.

Company info

Sign Up Now - EmploymentCrossing.com