Support PDF,DOC,DOCX,TXT,XLS,WPD,HTM,HTML fils up to 5MB
Years of Experience
Date Last Verified
Broker Dealer Chief Compliance Of CCO Mutual Fund B/D The candidate will oversee compliance for a central distribution group for intermediary, institutional and retail business channels within management division. Duties include oversight and management of broker-dealer/related compliance programs, specifically: Partnering with business lines to provide timely, appropriate and solutions-oriented support to help meet their goals and objectives. Ensuring maintenance and, where needed, enhancement of policies, procedures and processes Partnering effectively with other affiliated Chief Compliance Officers, executive management and others with respect to all regulatory developments, requirements and proposals. Coordinating with covered businesses to ensure effective controls are in place to meet regulatory requirements and providing advice to management/business partners. Overseeing compliance monitoring and testing for applicable FINRA requirements as well as for the firm. Managing relationships with regulators and manage regulatory examinations. Must have 10-15 years of relevant experience Bachelor s degree required, JD or MBA a plus. Strong knowledge of business activities and products/services and industry and peer group standards. Strong knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, FINRA regulation, MSRB regulation, and CFTC/NFA commodity pool and commodity trading advisor regulations Series 7, 24 Series 3 plus.
Job Number: 1708344
Company infoHiring Coordinator