Chief Compliance Officer
Alexander Chapman · Baltimore, Maryland, United States
FULL TIMEpermanent
Job Description
Chief Compliance Officer
Do you have the skills to fill this role Read the complete details below, and make your application today.
A SEC-registered investment advisory firm is seeking a Chief Compliance Officer to lead its compliance program and serve as a key advisor to senior leadership.
Responsibilities:Own the firm's compliance program and policies.Lead SEC examinations, regulatory inquiries, and annual reviews.Oversee regulatory filings, testing, disclosures, and compliance monitoring.Manage Code of Ethics, marketing compliance, conflicts, and related programs.Advise senior leadership on regulatory risk and compliance matters.Support M&A and continued business growth.Ideal Background:10+ years of investment management compliance experience.5+ years within an SEC-registered RIA.Prior CCO, Deputy CCO, or senior compliance leadership experience.Strong knowledge of the Investment Advisers Act.Experience with SEC examinations. xzbcwsv RIA, private wealth, or UHNW experience preferred.
Do you have the skills to fill this role Read the complete details below, and make your application today.
A SEC-registered investment advisory firm is seeking a Chief Compliance Officer to lead its compliance program and serve as a key advisor to senior leadership.
Responsibilities:Own the firm's compliance program and policies.Lead SEC examinations, regulatory inquiries, and annual reviews.Oversee regulatory filings, testing, disclosures, and compliance monitoring.Manage Code of Ethics, marketing compliance, conflicts, and related programs.Advise senior leadership on regulatory risk and compliance matters.Support M&A and continued business growth.Ideal Background:10+ years of investment management compliance experience.5+ years within an SEC-registered RIA.Prior CCO, Deputy CCO, or senior compliance leadership experience.Strong knowledge of the Investment Advisers Act.Experience with SEC examinations. xzbcwsv RIA, private wealth, or UHNW experience preferred.