About this opportunity
Dinsmore Compliance Services lists this Chief Compliance Officer opportunity in cincinnati, Ohio. Review the employer’s description below for duties, qualifications and application requirements.
Job description
Dinsmore Compliance Services, LLC is seeking a Chief Compliance Officer (CCO) at our Cincinnati, OH location to work directly with our financial services clients. This position will lead the engagement with assigned clients while forming deep relationships—with the CCO effectively becoming a key member of the client's team.
The Chief Compliance Officer provides primary oversight and insights to our investment adviser, municipal adviser, and/or broker-dealer clients.
Responsibilities
Administer and maintain Rule 206(4)-7 compliance policies and procedures and execution of a continuous compliance calendar pursuant to the Rule and DCS’s overall compliance program Facilitate and enforce all facets of the compliance program to protect the client from legal and regulatory risk
Ensure that all compliance reporting complies with regulatory requirements and client policies
Provide strategic direction for compliance in support of client business operations, initiatives, and goals
Review and maintain client firm compliance policies and written procedures in response to changing regulations and financial industry trends
Manage and respond to all regulatory inquiries, also act as client liaison with regulators
Participate in and manage for the client:
Annual compliance reviews & training
Regulatory filings and form updates
Regulatory audits/exams
Internal audits and branch office inspections
Compliance committees
Support the review of advertising material, sales literature and correspondence
Consult with client sales, marketing, operations and other departments on compliance matters, supervision and risk management
Communicate regulatory changes and trends with the client’s management team and their employees, representatives, etc.
Perform and/or oversee periodic testing of written policies and procedures to determine ongoing compliance
Perform trading and best execution reviews; monitor/review personnel trading for conflicts of interest
Provide leadership and supervisory oversight in the areas of compliance and risk management according to the client’s business model and operations, as well as the regulatory environment to which they are subject
Requirements
Ability to oversee and carry out the implementation and on-going execution and enhancement of a full-scale compliance program
Ability to work independently in a high demand/high productivity environment
Work efficiently with high attention to detail and the ability to multi-task
Carry a high level of team orientation; possess strong interpersonal communication skills and a passion to help team members and clients
Demonstrate integrity—maintain client trust, confidentiality and code of ethics
Strong verbal and written communication skills
Dependable, accountable, adaptable, and flexible
Ability to enthusiastically support and promote the goals of our firm and its clients
Bachelor's degree (B.A.) or equivalent from four-year College or University
5-7 years or more experience in financial industry compliance and/or operations; preferably in a manager, officer or director role
Experience with the current and proposed financial regulatory environment (SEC, FINRA, DOL/ERISA, CFTC)
Knowledge of Securities Act of '33, Investment Advisers Act of '40, Investment Company Act of '40 and related federal and state regulations
Experience with financial industry regulatory requirements, forms & systems required; Regulatory audit/exam experience preferred
Specific knowledge of rules and exemptions governing hedge funds, private equity funds, '40 Act Funds and commodity pools helpful
Familiarity with GIPS and other industry standards are a plus
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Worksite address
cincinnati, OH, 45208, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.