The Chief Compliance Officer is responsible for ensuring compliance with industry rules and regulations (SEC, FINRA), as well as identifying and documenting regulatory risks and assisting the firm in developing policies, procedures and controls.
This position involves planning, supervising and executing day-to-day operational compliance activities. This individual will help maintain a strong compliance framework for a growing team. Additionally, the CCO will work with the operations and business development teams to help expand new business lines, identify regulatory risks and requirements and assist in the overall growth and success of the firm.
The candidate should have experience providing direction and oversight and be able to help guide the team in the assessment of control deficiencies while assisting in developing effective remediation plans. The CCO will also provide direction in the ongoing maintenance of the annual compliance risk assessment.
The individual must be able to provide compliance guidance that balances regulatory requirements, risk mitigation and business objectives.
*The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required of the position.