What are the responsibilities and job description for the Chief Compliance Officer position at ACT Consulting, Inc.?
CT Consulting has an immediate need for a Chief Compliance Officer with our direct client.
Please take a moment to review the job description. If this is something you are interested in, please send a copy of your resume to keith@act-info.com or contact us at 860-919-5420 for additional details.
ACT Consulting is a U.S. owned and operated staffing company providing our clients with candidates on a national basis for contract, contract to hire, and direct hire engagements. Our clients are comprised mostly of Fortune 1000 companies, primarily in the areas of Information Technology, Engineering, Professional, Accounting and Finance.
Location : Hunt Valley, MD
Duration : Direct Hire
Title : Chief Compliance Officer
Pay Rate : Commensurate with experience
Chief Compliance Officer
Client is a multi-billion dollar full-service single-family office based in MD.
The firm provides investment and capital management for individuals, trusts, and tax-exempt entities within complex accounting structures. The firm actively invests across public equities, credit, real assets, private equity, and venture capital, focusing on fund, direct and secondary investment strategies that follow a disciplined approach to identifying best-in-class markets, teams and ideas. It is our objective to compound wealth, reduce tax, and meet the philanthropic goals of our clients.
Job Description :
- Manage and administer all policies and procedures associated with the Firm's regulatory compliance program.
- Develop, implement, operate and be responsible for the Firm's compliance program.
- Supervise firm compliance in conducting daily, periodic and special compliance reviews involving the analysis of relevant documents, information and records.
- Monitor and test the Firm's policies and procedures to determine the adequacy and effectiveness of the Firm's compliance program.
- Prepare and submit all required regulatory filings and disclosure documents in a timely and accurate manner.
- Maintain well organized systemic records of the Firm's compliance program in the event of an outside audit and / or regulatory examination.
- Interface with regulators and examiners as matters pertain to job duties.
- Responsible for opening and monitoring firm bank accounts.
- Prepare and deliver all KYC and AML materials requested from outside administrators.
Qualifications and Requirements :
