Job Details

Wealth Management Compliance- CCO for Consulting Group Capital Markets Funds

Company name

Organization Type


Job Type


Years of Experience

Min 10 yrs required


New York City, NY

Date Last Verified

Aug 20,2017

Posted on

Jul 04,2017
Practice Area
Corporate >> Corporate - Securities and Capital Markets
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Wealth Management Compliance- CCO for Consulting Group Capital Markets Funds Duties: Provide a wide range of services to our business units. Help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. Preserve the firm’s invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. Maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm’s businesses. Oversight and maintenance of a full Investment Company Act of 1940 compliance program (38a-1) for the Funds; Ongoing, extensive due diligence on all sub-advisers and major service providers, including the Funds’ custodian/administrator/accounting firm, transfer agent, pricing vendors, and proxy voting vendors; Quarterly and ongoing compliance reporting to the CGCM Funds board of trustees; Non-voting participation in several Fund committees, including the valuation committee; Oversight of the Funds Code of Ethics and Personal Trade monitoring of designated ‘Access Persons”; Keeping up-to-date on new rules and regulations affecting mutual funds; and leading various initiatives relating to ongoing, new and revised regulations and other related matters. Will interact frequently with senior management and members of the board of trustees.

Qualification and Experience

Qualifications: Undergraduate degree. Masters, JD Degree or additional industry certifications desirable. Extensive experience (10+ years) with Investment Company Act and or Investment Advisers Act of 1940. Candidate should also have experience conducing due diligence of sub-advisors and service providers. Candidate should be familiar with periodic regulatory SEC filings and comfortable working to deadlines. Should have the knowledge of appropriate regulatory rules. Should have strong analytical, communication and interpersonal skills, and have the maturity and ability to work independently and interact effectively with senior management of sub-advisers and service providers.

Additional info

Job Number: 3094555

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