Description
A global advisory, restructuring, and investment firm is seeking a Chief Compliance Officer, reporting jointly to the President of the Debt Investment Group and the General Counsel, who will have principal responsibility for all aspects of the Firm's Debt and Equity Funds' Investment Management Compliance Program. In addition, the Chief Compliance Officer will be responsible for ensuring that the Compliance Program is effectively managed for all regulatory affairs (e.g. SEC, FINRA), as well as with reference to the firm's internal policies and procedures.Responsibilities
- Maintain and revise policies and procedures for the effective operation of the Compliance Program.
- Monitor performance of the Compliance Program on a continuing basis with periodic audits and reporting.
- Ensure that the policies and procedures comply with applicable laws, regulations, industry guidance and best practices.
- Ensure proper disclosures.
- Identify potential areas of compliance vulnerability and risk, develop corrective action plans, and provide guidance on risk avoidance.
- Identify, resolve, and manage potential, perceived, and actual conflicts of interest, based upon regular participation in transactional business development meetings.
- Administer documentation aspects of governmental and self-regulatory compliance obligations.
- Develop, implement and maintain a comprehensive (business and legal) risk management matrix.
- In close collaboration with in-house investor relations professionals, review investor communications and marketing materials for compliance with applicable governmental and self-regulatory bodies.
- Provide senior leadership, guidance, education, training and support to all employees and representatives on ethics and compliance issues. Promote a strong Firm-wide compliance culture.
- Act as liaison with legal and regulatory bodies on compliance and regulatory related issues.
A competitive total compensation package including base salary, incentive plan, health, dental, a generous 401k match, time off benefits, and more. Qualifications
- Bachelor's degree
- Advanced degree, professional designations/licenses, and/or bar admission preferred.
- Direct experience in leading an investment management compliance program for a Registered Investment Advisor (including knowledge of the Investment Advisers Act) and/or leading SEC examinations.
- Excellent presentation, communication (both written and oral), analytical and interpersonal skills, as well as the ability to influence others at all levels and think creatively to solve business problems.
- Must demonstrate a high standard of integrity, the ability to deliver results under pressure and work effectively across divisions.
Please contact Matthew Gallira with Huxley Associates for further detail.
To find out more about Huxley Associates please visit www.huxley.com