What are the responsibilities and job description for the Chief Compliance Officer - Investment Management position at Conselium Compliance Search?
Why Join Us:
- Privately-held, fast-growing and profitable company – progression opportunities as business grows
- Flexible and autonomous working culture with work / life balance
- Excellent compensation and benefits package
Responsibilities:
- Manage, develop and refine compliance function and processes in conjunction with General Counsel
- Preparation of regulatory reports (Section 13 filings, Form ADV, Form PF, etc.) to ensure all regulatory requirements are met
- Perform testing of policies and procedures to assess adherence and effectiveness and document the results in coordination with the firm’s compliance consultant
- Conduct electronic communication surveillance for compliance risks including MNPI, Code of Ethics obligations and other compliance issues
- Maintain the firm’s Restricted List and conduct trade surveillance related thereto and other compliance policies
- Review marketing materials (firm presentation, DDQ, investor letters, monthly performance report, etc.) to ensure adequate disclosures and support is maintained
- Administer the firm’s Code of Ethics, including the monitoring of all compliance reporting obligations and pre-clearance requests (employee personal trading, etc.)
- Update policies and procedures and training materials for regulatory developments, changes in business practices, and recommended improvements
- Draft periodic compliance communications to the firm and assist with compliance training
- Complete regulatory certifications, external requests for compliance information and other compliance program administrative duties, such as maintenance of all compliance records
- Interact with CEO, CIO and COO on various analyses, projects and initiatives
- Develop/document processes and procedures, identify enhancements and remedial actions and evolve the role to continuously adopt best practices and reduce risk
Requirements:
- Essential Education: Bachelor’s degree
- Demonstrable hands-on compliance experience at an SEC-Registered investment business and/or consulting firm or appropriate regulatory body
- Strong practical understanding of Investment Advisers Act of 1940
