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Sr. CCO Chief Compliance Officer (mutual funds) Jobs

New York, New York
<p>Investment Management firm located in NYC with three billion in assets needs:</p><p>Chief Compliance Officer</p> Minimum of 5 years relevant job experience, including mutual fund distribution experience (either at a broker/dealer or investment advisory), experience working with advertising/ marketing issues, and experience writing policies and procedures MUST have Mutual Fund experience A long-established investment management firm seeks a Chief Compliance Officer (CCO) for their broker-dealer division. The CCO will oversee and manage all the daily Compliance functions of the limited purpose broker-dealer.<p>Responsibilities:</p> Oversight and management responsibilities of the broker-dealer operations, and partner with Legal and executive management with respect to all regulatory developments, requirements and proposals as applicable; Coordinate with the business to ensure effective controls are in place to meet regulatory requirements; provide advice to management on how to comply with the laws and regulations; monitor the business units performance with compliance, and alert management to compliance gaps and issues; Involved with the Compliance review and approval of advertising, sales literature, and marketing materials; Draft and update the Written Supervisory Procedures; Responsible for compliance monitoring and testing related to FINRA Rule 3012; Responsible for the firm-wide training and education program; which include annual compliance meeting; Involved with responses to regulatory exams and inquiries, investment adviser compliance matters and issues, including investment adviser regulatory filings and client guideline monitoring; Actively identify risks and facilitate their mitigation to acceptable levels, and the Personal Trading System for monitoring employees personal securities transactions; Review advertising and marketing materials to ensure compliance with regulations; Prepare or assist in preparation of regulatory filings; and Assist on special projects and ad hoc assignments.<p>Requirements:</p> Broker/dealer compliance experience, with the ability to interpret applicable regulations Mutual fund and/or investment adviser compliance experience required, with the ability to interpret applicable regulations Knowledge of the Investment Advisers Act of 1940, and Investment Company Act of 1940; Strong knowledge of FINRA Minimum of 5 years relevant job experience, including mutual fund distribution experience (either at a broker/dealer or investment advisory), experience working with advertising/ marketing issues, and experience writing policies and procedures Bachelors degree required; Series 7 & 24 licenses.<p>IMMEDIATE INTERVIEW!</p><p>Please email your resume in WORD format and current base salary requirements ASAP: Darrenf AT rtijobs . com</p>
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