We are representing a Dallas-based Investment Management firm in their search for a Chief Compliance Officer.
Why Join Us:
• Privately owned firm established for nearly 20 years
• Top down Partner level support of compliance program
• Drive compliance strategy as well as day to day operational compliance
• Firm is a signatory of United Nations Principles for Responsible Investment (UNPRI) network; environmental, social and governance research is integrated into the investment process, and is a critical component of the firm’s strategy
Expectations first 12 months:
• Learn the business and establish yourself as a trusted advisor to colleagues at all levels of seniority
• Continuing focus on and improvement of company-wide compliance policies, procedures, controls and audit standards
Responsibilities:
• Reporting to a Partner, you will oversee all aspects of the firm’s compliance program; the firm has a well-established culture of compliance, and is looking for a leader who will strengthen and build on this strong foundation
• Repo Review and approve marketing presentations, DDQs/RFP’s, and investor requests
• Conduct and manage compliance testing, including working with outside compliance consultants
• Track SEC regulatory filing dates to ensure accurate and timely reporting
• Prepare and deliver certain trainings, including annual and new employee training
• Collaborate to maintain and implement vendor due diligence, privacy policies, cybersecurity related procedures
• Maintaining firm’s code of ethics system (Compliance Alpha) including: review of transaction alerts and employee trading activity; track gift and entertainment reporting; and review of political contribution pre-clearance requests
• Manage industry-standard SEC and FINRA compliance program, including employee education programs
• Identify potential conflicts of interest and display the expertise and credibility to provide interpretive guidance and recommend resolutions to senior management
• Oversee all components of the compliance program including recordkeeping, timely and accurate domestic and foreign regulatory reporting, oversight of custody issues and reporting requirements, maintaining up-to-date compliance manuals, supervising compliance audits, and ongoing assessment of conflicts of interest
• Conduct quarterly testing programs to assess the adequacy of the firm’s policies and procedures
• Collaborate with internal teams as needed to ensure best practices across the compliance program, including code of ethics and restriction monitoring, regulatory filings, and marketing materials review
• Adapt and adjust job responsibilities to accommodate changing priorities while managing multiple requirements and timelines. Demonstrate flexibility and the ability to take on additional responsibilities to contribute to the growth and prosperity of the firm
• Serve as a member of the firm’s environmental, social and governance (ESG) committee
Requirements:
• Extensive investment company RIA compliance experience including exposure to ‘40 Act compliance
• Qualification: Essential Bachelor’s Degree and preference for JD
• You will have a proven operational compliance focus, with demonstrable exposure to working independently in a hands-on capacity, as well as to regular communication and presentation to company executives
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.
