What are the responsibilities and job description for the Vice President and Chief Compliance Officer position at Dinsmore & Shohl LLP.?

Vice President and Chief Compliance Officer

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Company Name : Dinsmore & Shohl LLP.

Employment Type : Full-Time

Posted on : Feb 27, 2022

Profile :

Communicate regulatory changes and trends with the client’s management team and their employees, representatives, etc.
Perform and / or oversee periodic testing of written policies and procedures to determine ongoing compliance.
Perform trading and best execution reviews; monitor / review personnel trading for conflicts of interest.

Requirements :

Ability to oversee and carry out the implementation and ongoing execution and enhancement of a full-scale compliance program.

Ability to work independently in a high demand / high productivity environment.

Work efficiently with high attention to detail and the ability to multi-task.

Carry a high level of team orientation; possess strong interpersonal communication skills and a passion to help team members and clients.

Demonstrate integrity—maintain client trust, confidentiality and code of ethics.

Strong verbal and written communication skills.

Dependable, accountable, adaptable, and flexible.

Ability to enthusiastically support and promote the goals of our firm and its clients.

Education and Experience :

Bachelor's degree (B.A.) or equivalent from a four-year College or University.

5-7 years or more experience in financial industry compliance and / or operations; preferably in a manager, officer or director role.

Experience with the current and proposed financial regulatory environment (SEC, FINRA, DOL / ERISA, CFTC).

Knowledge of Securities Act of ‘33, Investment Advisers Act of ‘40, Investment Company Act of ‘40 and related federal and state regulations.

Experience with financial industry regulatory requirements, forms & systems required; regulatory audit / exam experience preferred.

Specific knowledge of rules and exemptions governing hedge funds, private equity funds, ’40 Act Funds and commodity pools helpful.

Familiarity with GIPS and other industry standards is a plus.

About the Company :

Dinsmore Compliance Services, LLC (“DCS”) is a growing provider of outsource compliance services and solutions to investment advisers, municipal advisers, hedge funds, and broker-dealers. We offer full chief compliance officer (CCO) services, consulting, assessments, and financial operations (FINOPs) consulting, through an experienced and close-knit team of professionals. We offer competitive compensation, health benefits, and a 401(k) retirement plan. DCS is an affiliate of the national, full-service law firm Dinsmore & Shohl LLP.

To learn more about our firm, please visit www.dinsmore.com / dinsmore-compliance-services.

Ready to Apply?

Attorneys and law students only, please send or email your resume and cover letter to :

Jennifer L. Stark

Director of Recruiting and Legal Personnel

255 E. Fifth Street, Suite 1900

Cincinnati, OH 45202

dinsmore.legalrecruiting@dinsmore.com

To be considered for a staff position, email your resume and salary requirements to :

jobs@dinsmore.com

Dinsmore is an equal opportunity employer.

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Vice President and Chief Compliance Officer

What are the responsibilities and job description for the Vice President and Chief Compliance Officer position at Dinsmore & Shohl LLP.?

What is the career path for a Vice President and Chief Compliance Officer?

Job openings at Dinsmore & Shohl LLP.

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