What are the responsibilities and job description for the Chief Compliance Officer - RIA position at Larson Maddox?
Our client, one of Europe’s largest banking groups, is looking to hire an experienced Compliance professional at a senior Executive Director level to build out a Compliance function for a newly created RIA business. The firm are one of Europe’s largest banking groups whose US presence continues to go from strength to strength. The RIA business which will focus, has identified as a key growth area of the firm and has received significant investment. This role is one of the first and most important hires being made.
You will report directly to the CEO.
The Chief Compliance Officer will be responsible for…
- Implementing and standing up a best-in-class Investment Advisory Compliance program ensuring Act 40 Compliance
- Providing specialist product and business Compliance Advice to key stakeholders and senior leaders in the RIA business
- Developing and implementing policies and procedures
- Owning and managing the RIA’s relationship with regulators
The Chief Compliance Officer should have the following qualifications…
- 10 years of relevant Compliance experience in a Registered Investment Advisor
- Deep subject matter expertise of the Investment Advisors Act of 1940
- Experience of developing and implementing a Compliance program in an RIA
- Exceptional communication and leadership skills
