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Deputy Chief Compliance Officer Apply to This Job

Company: ExecuNet
Location: Jersey City
Posted on: January 8, 2022

Job Description:

Company: Fin'l Services General, Phoenix, AZ Jersey City, NJ Remarks: We are looking for an Investment Advisory Deputy Chief Compliance Officer to join our team and be part of something great. We have an outstanding career opportunity for a driven, successful leader with at least 10 years of increasing management responsibility in the securities industry, both broker-dealer and investment advisory. The Deputy COO will spend their days managing portions of the RIA Compliance Program as well as operating as the designated CCO of some of the investment advisory firms. Responsibilities:

  • Ensure appropriate regulatory policies, procedures and controls are established, maintained, and well documented
  • Manage and develop a team of RIA Compliance Analysts professionals
  • Prepare for and respond to regulatory inquiries, examinations, internal audits and other reviews
  • Partner with the Legal team to proactively analyze and manage changes to regulatory requirements
  • Develop and deliver education on compliance policies and procedures to ensure proper understanding of regulatory risks and responsibilities
  • Provide guidance and support to our financial advisors and business partners
  • Represent RIA Compliance Department in cross functional firm initiatives
  • All other duties as assigned Education Requirements:
    • Bachelor's degree from a four-year college or university is required. Requirements:
      • Expertise in Investment Adviser's Act of 1940 and general knowledgeable in other financial regulations;
      • At least ten years of relevant work experience with strong knowledge of the Investment Advisers Act of 1940;
      • Demonstrated experience with Rule 206(4)7 testing, conducting risk assessments, updating Form ADV, as well as drafting policies and procedures;
      • Ability to manage and effectively influence while providing advice and guidance;
      • Advanced Skill to independently identify and analyze compliance issues;
      • Strong Ability to build consensus among managers and employees across departments;
      • Advanced knowledge of RIA and industry regulation;
      • Proven management and human relations skills;
      • Excellent oral and written communication skills;
      • Strong critical thinking skills and be an ardent problem solver;
      • FINRA Series 66 (or 63 / 65) required. Preferred Skills:
        • Advanced Degree or Certifications preferred
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Keywords: ExecuNet, Jersey City , Deputy Chief Compliance Officer Apply to This Job, Executive , Jersey City, New Jersey

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