Chief Compliance Officer

Competitive salary along with amazing benefits, generous PTO and bonuses!

For consideration please send resume to: vicky@aspen-search.us

Overview:  Our client is a Financial planning and investment management firm with $5 billion in assets under management seeking to hire a Chief Compliance Officer to join their work family.  This is a Direct and  full-time Remote role. The Chief Compliance Officer is a key member of the Executive team and will oversee a team of 3.  This individual will report to the CEO and help drive the Company’s ongoing commitment to compliance with all applicable laws and regulations associated with SEC Registered Investment Advisers.

Responsibilities:

• Enforce existing processes and ensure monitoring and implementation of all regulations as well as internal policies and procedures
• Strong knowledge of regulatory requirements and compliance standards.
• Excellent analytical and problem-solving skills
• Collaborate with other Department Heads to identify risk, foster a culture of compliance, and align business objectives with regulatory requirements
• Analyze statutory and legal changes to determine the applicable compliance impact on company
  Conduct regulatory inquiries (including SEC audits), internal examinations, manage customer complaints, and ensure all fiducial requirements
• Act as a liaison between the company and regulatory agencies
• Manage the RIA appointment and licensing process
• Manage the AML & OFAC process for RIAs
• Monitor bulletins, circulars and alerts to ensure  compliance
• Collect and aggregate data, perform quantitative and qualitative data analysis, identify trends, and generate key metrics and reports
• Assist in the creation of compliance reports
• Assist with the implementation and execution of controls related to the Company’s compliance program and key risk areas
• Participate in cross-functional compliance initiatives to ensure compliance in all areas of the Company
• Review and ensure compliance with contracts and agreements
• Create, review and ensure compliance with internal policies and procedures
• Identify and document processes and overseeing compliance with all reporting requirements
• Manage Risk Management Committee by identifying, evaluating, mitigating, and monitoring compliance, operational, and strategic risks.
• The CCO will enhance and oversee the risk management program, ensuring all potential risks are identified and addressed.
• This position requires developing and implementing risk management strategies, policies, and procedures to protect the company’s assets and ensure regulatory compliance

Background/Experience:

• 5 to 10 years of experience at a RIA (Registered Investment Adviser) in the legal, risk or compliance position
• Bachelor’s Degree required
• Industry certifications such as Certified Regulatory Compliance Professional (“CRCP” or
• Investment Adviser Certified Compliance Professional (“IACCP”) preferred
• Strong communication and leadership skills with the ability to engage with executives and promote a compliance-focused culture
  Ability to build consensus and foster collaborative relationships across departments
• Experience with technology solutions to enhance compliance oversight, including tracking and analyzing data points to improve compliance monitoring and risk management
• Strong written and oral communication skills
• Strong project management skills and a proven ability to balance multiple priorities in a dynamic environment
• Highest level of integrity and honesty