What are the responsibilities and job description for the Compliance Officer position at Creative Financial Staffing (CFS)?
Compliance Officer
$140 000 - $150 000 plus bonus plus equity!
Our client, a growing publicly traded organization is seeking their first Compliance Officer to establish and lead their compliance program, ensuring adherence to regulatory requirements and industry best practices. The Compliance Officer will oversee the firm's compliance policies and procedures. This position will ensure regulatory adherence to SEC, FINRA, and other applicable regulations while fostering a strong culture of compliance across the organization. The ideal candidate is a proactive, hands-on leader with experience in compliance within asset management, private equity, hedge funds, or related financial services.
About The Company And Compliance Officer Opportunity
$140 000 - $150 000 plus bonus plus equity!
Our client, a growing publicly traded organization is seeking their first Compliance Officer to establish and lead their compliance program, ensuring adherence to regulatory requirements and industry best practices. The Compliance Officer will oversee the firm's compliance policies and procedures. This position will ensure regulatory adherence to SEC, FINRA, and other applicable regulations while fostering a strong culture of compliance across the organization. The ideal candidate is a proactive, hands-on leader with experience in compliance within asset management, private equity, hedge funds, or related financial services.
About The Company And Compliance Officer Opportunity
- Work for a Nationwide company that recently located its Headquarters to Orlando!
- This position is a newly created role due to exponential growth. The team will continue to grow!
- This company consistently ranks in the top of their industry
- The company is going rapidly growing and promotes from within
- Competitive salary plus bonus and EQUITY!
- Glassdoor Reviews state:
- “Competitive pay and ability to grow”
- “Terrific PTO”
- “Everyone is invested in your success and pushes you to be the best”
- Develop and Implement Compliance Program: Establish, document, and maintain a comprehensive compliance framework tailored to the company’s alternative investment strategies.
- Regulatory Compliance & Filings: Ensure adherence to SEC, FINRA, and other regulatory requirements, including Form ADV, Form PF, and other filings as necessary.
- Policies & Procedures: Draft, review, and update compliance policies, including Code of Ethics, AML/KYC procedures, and trading guidelines.
- Risk Management: Identify, assess, and mitigate compliance risks related to investment strategies, marketing, and operational processes.
- Employee Training & Education: Develop and deliver compliance training programs to ensure firm-wide awareness and adherence to policies.
- Monitoring & Testing: Conduct ongoing surveillance, internal audits, and testing to ensure regulatory compliance and best practices.
- Regulatory Examinations & Audits: Act as the primary liaison for regulatory exams and audits, responding to inquiries and implementing corrective actions.
- Ethics & Conflicts of Interest: Monitor for potential conflicts of interest, insider trading risks, and ethical concerns.
- Reporting & Documentation: Provide regular compliance reports to senior leadership and the board of directors.
- Bachelor’s degree and 7 years in compliance within asset managment, PE, hedge funds or investment advisory firms
- Thorough understanding of SEC, FINRA, and other relevant financial regulations
- High degree of integrity, discretion, and professionalism
Salary : $140,000 - $150,000
