A company is looking for a Chief Compliance Officer.
Key Responsibilities
Design, implement, and maintain compliance policies and procedures to prevent violations of the Advisers Act
Oversee regulatory filings, ensuring timely and accurate submissions to the SEC and state regulators
Manage the firm's anti-money laundering (AML) and know-your-customer (KYC) programs
Required Qualifications
Minimum of 5-10 years of compliance, legal, or regulatory experience in the investment management industry
Deep knowledge of the Investment Advisers Act of 1940 and relevant SEC rules and regulations
Experience in designing and administering compliance programs for SEC-registered investment advisers
Bachelor's degree required; Juris Doctor (JD) or advanced degree preferred
Prior experience as a Chief Compliance Officer or senior compliance officer at an SEC-registered investment adviser is a plus
Chief Compliance Officer • Fontana, California, United States
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