We are representing a rapidly expanding investment firm in their search for a Chief Compliance Officer in Chicago, IL.
Why Join Us:
- Established firm with active ongoing growth plans – including several planned acquisitions in 2020 and a 50% headcount growth expectation
- Lean, agile and entrepreneurial culture
- Top down executive level support of and investment in compliance program
- Opportunity to work in a hands-on operational capacity as well as driving compliance strategy
Expectations first 12 months:
- Build cross-functional relationships throughout the business leadership team
- Conduct a compliance risk assessment and identify key areas of focus for 2020, implement appropriate changes and integrate into operational compliance process
- Establish uniformity of compliance program across all business units and actively and promptly integrate into newly acquired businesses
Responsibilities:
- Reporting to the CEO, the Chief Compliance Officer is the senior leader of compliance-related activities for broker dealer (BD) and registered investment advisory (RIA) entities, responsible for leading a team and overseeing and managing all compliance functions of the firm in a hands-on capacity
- Provide overall management and direction of BD and RIA Services
- Interfacing directly with regulators (e.g. FINRA and SEC) to manage examinations and audits
- Provide wide-ranging support and guidance on issues relating to the firm’s BD and RIA compliance programs, and timely resolve complex issues using sound judgement
- Implementation of enterprise-level compliance efforts; Collaborate with senior management in overseeing the Firm’s compliance program and implement enhancements as required
- Collaborate on and maintain compliance risk management framework that incorporates risk assessment, training, testing and reporting risk assessment process relating to the firm’s BD and RIA services, as well as the design and implementation of annual testing, periodic monitoring, and review of compliance policies, procedures, and controls consistent with the requirements of all appropriate rules
- Oversee regulatory filings relating to the BD and RIA services, including Form BD, Form ADV, Schedule 13F, Form 13G, Form PF, Form PR, and other applicable filings
- Represent the BD and RIA groups in cross functional initiatives- evaluate business objectives, regulatory developments and other emerging issues, and propose customized compliance solutions as necessary to execute business initiatives
- Prepare and present periodic reports in addition to annual review reports to executive team
Requirements:
- Essential Qualification: Bachelor’s Degree
- Essential Certification: Active FINRA licenses 7, 65 and 24
- Extensive BD and RIA compliance experience with a strong regulatory compliance background of at least ten years and three years of management experience
- Demonstrable experience as a hands-on compliance leader with proven program improvement skills
- You will have strong presentation and written communication skills
Application Process for Chief Compliance Officer – Qualified professionals are to submit Resume to Steve Harrison at: steve@conselium.com
Published by Conselium Executive Search, the global leader in compliance search.
