What are the responsibilities and job description for the Director, Compliance Risk Management position at ACT Consulting, Inc.?
Chief Compliance Officer
We are seeking a seasoned Chief Compliance Officer to join our team at Act Consulting Inc. Our direct client is a multi-billion dollar full-service single-family office based in Maryland.
About the Firm
The firm provides investment and capital management for individuals, trusts, and tax-exempt entities within complex accounting structures. They actively invest 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.
Key Responsibilities
- 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.
- Responsible for opening and monitoring firm bank accounts.
- Prepare and deliver all KYC and AML materials requested from outside administrators.
Requirements
- Bachelor's Degree from an accredited four-year college or university.
- At least 2 years of regulatory compliance and operations experience in the Registered Investment Advisor industry.
- Advanced degree preferred.
- Experience with KYC and AML materials.
- Banking experience preferred.
- Experience with high-net-worth clients or family office strongly preferred.
- Strong knowledge and understanding of the Investment Advisers Act of 1940, ERISA, Dodd-Frank, and other relevant regulations and laws.
About Us
Act Consulting Inc. 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.
