Chief Compliance Officer

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Chief Compliance Officer
The candidate will oversee and implement all aspects of regulatory compliance program for **MEMBERS ONLY**SIGN UP NOW***. across the institutional, wealth, and foundation and endowment offerings, and for all **MEMBERS ONLY**SIGN UP NOW***. affiliated entities, including the registered investment adviser, broker-dealer, and related subsidiaries. Lead the internal compliance team and oversee outside service providers. Lead and manage regulatory examinations. Contribute to the firm’s enterprise risk management efforts. Provide strategic leadership to the firm, including guidance on evolving best practices while remaining apprised of regulatory developments and adjust compliance policies and practices accordingly. Coordinate with other senior leaders of the firm on relevant matters such as cyber security, enterprise risk, advice to institutional, wealth, and foundation/endowment advisory broker-dealer services. Consider and address related ancillary services such as actuarial, tax, participant education, multi-family office services, and private investment funds, and related regulatory impacts. Bachelor’s degree is required. Should have 15+ years’ experience in compliance and/or legal regulatory for financial services. Master’s degree, Juris Doctorate, and/or advanced compliance professional designations are preferred. Experience in compliance for broker-dealers, private investment funds, multi-family offices are a plus. Prior experience as a Chief Compliance Officer or senior compliance role with significant responsibility for a complex investment advisor is needed. Strong written and verbal communication skills are essential. Strong organizational skills including adapting priorities and meeting deadlines are needed.

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