What are the responsibilities and job description for the Remote Regulatory Affairs Director position at Jobleads-US?
Job Title: Deputy Chief Compliance Officer
As a trusted Financial Services company, we require an experienced Deputy Chief Compliance Officer to oversee our Securities Compliance and stay abreast of SEC Rules.
Key Responsibilities:
- Compliance Review: Analyze and mitigate risks by developing new or improving existing compliance procedures.
- Supervision: Oversee compliance testing and ensure affiliates, fund sub-advisors, and service providers adhere to regulatory requirements.
- Reporting: Manage and review quarterly compliance reporting and findings for the Chief Compliance Officer and Board of Trustees.
- Policies and Procedures: Review and revise existing compliance policies and procedures to ensure alignment with changing regulations.
- Expertise: Develop subject matter expertise and consult on compliance-related issues.
- Training: Prepare and present ongoing training on compliance policies to the compliance team.
- Leadership: Lead, mentor, and advise the compliance team to meet objectives and deadlines.
Requirements:
- Experience: 10 years in securities compliance, including knowledge of SEC rules (Investment Company Act of 1940 and Investment Advisers Act of 1940).
- Educational Background: Bachelor's Degree required.
- Current Role: Currently in a senior role at an asset management/investment company with Adviser Act compliance experience.
Technical Skills: Microsoft Office
