Vice President And Compliance Officer

Profile

Vice President and Compliance Officer

The candidate will facilitate and enforce all facets of the compliance program to protect the client from legal and regulatory risk. Provide strategic direction for compliance in support of client business operations, initiatives, and goals. Review and maintain client firm compliance policies and written procedures in response to changing regulations and financial industry trends. Manage and respond to all regulatory inquiries, also act as client liaison with regulators. Participate in and manage for the client, annual compliance reviews & training. regulatory filings and form updates, regulatory audits/exams, internal audits and branch office inspections, compliance committees and vendor Due Diligence. Support the review of advertising material, sales literature and correspondence. Consult with client sales, marketing, operations and other departments on compliance matters, supervision and risk management. Communicate regulatory changes and trends with the client’s management team and their employees, representatives, etc.. Perform and/or oversee periodic testing of written policies and procedures to determine ongoing compliance. Perform trading and best execution reviews; monitor/review personnel trading for conflicts of interest. Bachelor's degree (B.A.) or equivalent from four-year College or University is required. Should have 5-7 years or more experience in financial industry compliance and/or operations; Preferably in a manager, officer or director role. Experience with the current and proposed financial regulatory environment (SEC, FINRA, DOL/ERISA, CFTC) is required. Experience with financial industry regulatory requirements, forms & systems is required; Regulatory audit/exam experience is preferred. Knowledge of Securities Act of ‘33, Investment Advisers Act of ‘40, Investment Company Act of ‘40 and related federal and state regulations is required.

Company info

Dinsmore & Shohl LLP.
255 East Fifth Street Suite 1900
Cincinnati
Ohio
United States 45202
Website : http://www.dinsmore.com/