About this opportunity
JW Michaels & Co. lists this Chief Compliance Officer opportunity in new york, New York. Review the employer’s description below for duties, qualifications and application requirements.
Job description
Our client, an asset management firm based in New York, is seeking a Chief Compliance Officer to lead the firm's compliance function and ensure adherence to applicable regulatory requirements.
Responsibilities
Oversee the design, implementation, and administration of the firm's overall compliance program
Maintain and update compliance policies and procedures, including the annual review process
Overside regulatory filings and serve as the primary point of contact for regulatory examinations and inquiries
Monitor regulatory developments and assess their impact on the firm's compliance framework
Review marketing materials and investor communications for regulatory compliance
Administer the firm's code of ethics, including personal trading and related policies
Provide compliance training to employees across the firm
Partner with Legal and other internal teams to identify and resolve compliance issues
Qualifications
Bachelor's degree required; JD preferred
10+ years of compliance experience within financial services, including prior senior compliance leadership experience
Strong knowledge of applicable securities regulations
Proven experience managing regulatory examinations
Strong communication and leadership skills
High degree of integrity and sound judgment
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Worksite address
new york, NY, 10261, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.