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Chief Compliance Officer (Part-TIme)

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Location
Reston, VA
Job Type
Temp To Perm
Date
Aug 08, 2017
Job ID
2510115
SEC Registered Investment Advisor located in Reston, VA seeks Chief Compliance Officer with significant experience in the investment management industry

Company: Registered Investment Advisors (RIA) with staff of 30

Location: Reston, VA

Job Type: Temp to permanent

Hours/Schedule: 30 hours/week, flexible schedule, 75% on-site / 25% virtual. Position could eventually grow to full-time

Pay Rate: TBD

Job Summary:  As an RIA, the client is subject to the requirements of the Investment Advisers Act of 1940, in addition to other regulations and securities laws.  The Chief Compliance Officer (“CCO”) will oversee all aspects of the firm’s compliance with these laws and regulations, will be responsible for fulfilling the day-to-day responsibilities of the compliance program, and will foster a compliance culture.  The CCO will also be responsible for ensuring the company’s adherence to its TrueFiduciary™ Principles.   Ideally, the CCO will also serve as a legal expert on other business matters.
 
 
Responsibilities:
  • Manage and administer all policies and procedures associated with the company’s regulatory compliance program, including its cybersecurity program
  • Prepare and submit all required regulatory filings and disclosure documents in a timely and accurate manner
  • Monitor and test the firm’s policies and procedures to determine the adequacy and effectiveness of the company’s compliance program. Report results to the CEO and COO, and work with business units to implement improvements as required 
  • Train advisory personnel on regulatory compliance matters to enhance understanding and awareness throughout the organization
  • Maintain systematic records of the company’s compliance program in the event of an outside audit and/or regulatory examination
  • Manage relationships with outsourced compliance partners
  • Interface with regulators, examiners and outside legal counsel as matters pertain to job duties 
  • Stay abreast of changing laws and regulations that affect the company’s operations.  Adjust the company’s legal practices and compliance program as required and communicate pertinent matters to the CEO and COO
  • When requested, review and negotiate legal contracts with service providers
  • Provide direction, education, and support to the firm with respect to all legal, fiduciary and regulatory compliance activities
  • Ensure the company conducts its business in compliance with all applicable laws, rules and regulations, and with its TrueFiduciary™ Principles

Qualifications: 
  • 5-10+ years of regulatory compliance experience in the investment management industry required
  • J.D. strongly preferred, along with Bachelor’s Degree
  • Strong knowledge and understanding of the Investment Advisers Act 1940, ERISA, Dodd-Frank and other relevant regulations and laws that pertain to investors
  • Experience dealing with the U.S. Securities and Exchange Commission
  • Experience in dealing with cybersecurity programs and vendor management a plus
  • Candidate should be self-motivated, confident and assertive, able to garner the respect of others and influence change at the Executive Committee level and throughout the firm
  • Excellent communication skills, both written and verbal, and an ability to interact with all levels of management and staff throughout the organization
  • Highly organized and attentive to detail
  • Ability to work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment
  • Excellent problem solving and negotiation skills
  • Highest standards of personal and professional ethics and integrity
  • Proficient in the use of Microsoft Office programs including Word, Excel, PowerPoint, and Outlook?