Chief Compliance Officer

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Chief Compliance Officer
The candidate will be responsible for: Lead compliance organization, providing guidance and support to our business partners, senior management, Board of Directors, and compliance team. For both our investment adviser and broker-dealer entities, ensure that appropriate regulatory policies, procedures and controls are established, maintained and well-documented. Take ownership of all ongoing compliance review processes and requirements, including annual reviews and meetings, Form ADV and Form BD filings, review and drafting of policies and procedures, compliance program framework and operations, etc. Manage and coordinate SEC and FINRA regulatory examinations, including written responses. Partner with the Legal team to analyze changes to regulatory requirements, proactively handle regulatory developments, and advise on new product launches. Continue to develop and mentor our excellent compliance professionals. Should have 8+ years of experience as a compliance professional at a SEC-registered investment adviser, broker-dealer, or regulator (diversity of experience strongly preferred). Must have experience with rules and regulations applicable to investment advisers and broker-dealers. Must have substantial experience managing regulatory exams. Should have excellent writer and communicator. Series 7 and 24 (and have passed the Securities Industry Essentials exam if required). Bonus Points: Either been a CCO or the number two compliance professional for a SEC-registeredinvestment adviser and FINRA member broker-dealer. Juris Doctor preferred. Series 27 or 63. Familiarity with operations of broker-dealers subject to 15c3-3. Experience with banking regulations.

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