Senior Vice President, Chief Compliance Officer
About the Company
Large diversified financial services organization
Industry
Financial Services
Type
Privately Held
Founded
1958
Employees
501-1000
Categories
Specialties
Business Classifications
About the Role
The Company is seeking an SVP, Chief Compliance Officer to lead the administration of its compliance program and oversee the compliance department. The successful candidate will be responsible for establishing and implementing standards, policies, and procedures to ensure the effectiveness and efficiency of the compliance programs across various entities. This includes providing general oversight, managing and training compliance teams, offering compliance advice in a dynamic business environment, and monitoring regulatory developments. The role also involves managing interactions with regulatory agencies, preparing regulatory submissions, and ensuring that the organization is in compliance with all relevant laws and regulations. Candidates for this role at the company should have a college degree or equivalent experience, with a minimum of 15 years in a compliance-related discipline and at least 10 years in a compliance management role. Strong analytical, process management, problem-solving, and communication skills are essential. The ideal candidate will have a Series 7 and 24 certification, with a FINRA Certified Regulatory and Compliance Professional designation strongly preferred. Proficiency in regulatory requirements, including the Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Act of 1933, and the Securities Exchange Act of 1934, is required. The role demands an individual with excellent interpersonal skills, the ability to build rapport at all levels, and a proven track record of working with cross-functional teams.
Hiring Manager Title
SVP, Chief Legal Officer
Travel Percent
Less than 10%
Functions
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