Chief Compliance Officer (CCO)

Posted on Jan 17, 2019 by The Execu|Search Group

Birmingham, AL 35201
Senior Appointments
Immediate Start
Annual Salary
Full-Time
Chief Compliance Officer (CCO) 2293 Jobs in Your Search | * LOCATION Birmingham, AL * JOB TYPE Full-Time * EXPERIENCE 10 year(s) * SALARY $180,000-$250,000 / yr * JOB ID J146246 Apply Now SHARE * * * About The Opportunity An investment advisory firm in Alabama is actively seeking a new Chief Compliance Officer (CCO) for a promising opportunity with their growing staff. In this role, the Chief Compliance Officer (CCO) will be primarily responsible for overseeing the risk control and compliance functions of the firm and for ensuring the application of effective controls and adherence to applicable laws, regulatory requirements, and the firm's policies and procedures. Apply today! COMPANY DESCRIPTION Investment Advisory Firm JOB DESCRIPTION The Chief Compliance Officer (CCO) will: * Review and document all risks and controls associated with the significant operational functions of the firm * Revise and enhance existing controls to address any existing and potential material weaknesses * Review, test and revise current policies and procedures both initially and continuously to ensure adequacy and improve effectiveness * Prepare reports for senior management regarding all review and testing findings * Oversee the preparation and ensure the accuracy and timely submission of all regulatory filings * Oversee the review of external communications and presentations in order to reduce risk and ensure compliance with applicable regulations * Define and enable the necessary level of knowledge on existing and emerging regulatory compliance requirements across the organization * Oversee and monitor the structure and implementation of the compliance program and team * Develop the annual compliance work plan that reflects the firm's unique characteristics and periodically revise the plan to reflect organizational changes * Handle other duties, as needed REQUIRED SKILLS * 10+ years of experience in Compliance leadership role within in the Asset Management industry and/or a Securities Law practice * Master's Degree or equivalent and relevant experience and skills * Strong knowledge of Securities laws that relate to Investment Advisers (e.g., Investment Advisers Act, Investment Company Act, Securities Act, Commodities Exchange Act, ERISA, UCITS Regulation) * Extensive experience with regulatory platforms (i.e. FINRA Gateway IARD/CRD/E-Bill), portfolio management systems, and CRM software. * Microsoft Excel proficient * Solid analytical, mathematical, and research skills * Great interpersonal skills * Excellent communication skills (written and verbal) * Strong attention to detail * Highly organized * 10+ years of experience in Compliance leadership role within in the Asset Management industry and/or a Securities Law practice * Master's Degree or equivalent and relevant experience and skills * Strong knowledge of Securities laws that relate to Investment Advisers (e.g., Investment Advisers Act, Investment Company Act, Securities Act, Commodities Exchange Act, ERISA, UCITS Regulation) * Extensive experience with regulatory platforms (i.e. FINRA Gateway IARD/CRD/E-Bill), portfolio management systems, and CRM software. * Microsoft Excel proficient * Solid analytical, mathematical, and research skills * Great interpersonal skills * Excellent communication skills (written and verbal) * Strong attention to detail * Highly organized

Reference: 615425642

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