CHIEF COMPLIANCE OFFICER
Company: Fanning Personnel
Location: Boston
Posted on: October 19, 2024
Job Description:
A dynamic and growing SEC registered investment adviser with
approximately $7 billion in regulatory assets under management is
currently seeking a highly focused and experienced Chief Compliance
Officer (CCO). This position will lead the Compliance department
and oversee all regulatory interaction and audit functions
including acquisition, diligence, and integration of all acquired
investment adviser firms as we scale the business dramatically. The
Chief Compliance Officer will also lead the firm's compliance
function. The CCO will be responsible for ensuring that the firm's
reporting complies with regulatory requirements as well as firm
policies and supervisory procedures. Additional responsibilities
include developing and maintaining policies and procedures and the
overall design and maintenance of the advisory services compliance
program. The Chief Compliance Officer will provide executive
leadership and strategy to compliance, risk management, control &
operations of the firm.
If you are considering sending an application, make sure to hit the
apply button below after reading through the entire
description.
Position Responsibilities:
- Develop and implement an overall strategic vision for the
compliance functional areas of the firm which effectively manages
and mitigates risk, establishes proper controls, supports business
initiatives, and protects the firm from legal and regulatory
risk.
- Manage, monitor, and enforce all compliance requirements and
best practices to ensure effectiveness with a focus on continuous
improvements.
- Act as the firm's appointed SEC and FINRA regulatory liaison,
managing regulatory audits and exams in accordance with The
Investment Advisers Act of 1940.
- Oversee and manage the firm's Privacy Policy and Terms of
Service to ensure they are appropriately updated and kept current
with changes in the law, new product offerings, new partnership
engagements, etc.
- Execute a consistent approach to compliance reviews, issues,
and concerns to minimize the firm's exposure.
- Manage the compliance review of all marketing materials
produced by the firm.
- Proactively collaborate with other departments as needed to
ensure compliance issues are addressed, investigated, and
resolved.
- Consult with Sales, Marketing, Operations, and other
departments as needed on compliance, supervision, management, and
complaint issues.
- Provide guidance, training, and education to employees to
improve employee understanding of required actions and regulatory
requirements. Oversee compliance training programs for staff.
- Provide general corporate compliance guidance to the firm and
its operating businesses (contract review, legal due diligence,
etc.).
Position Qualifications:
- 5+ years in SEC compliance experience at a RIA or law firm,
J.D. preferred.
- Deep knowledge of Investment Company Act of '40 and broad
knowledge of various federal and state regulations.
- Experience with the current and proposed regulatory environment
(SEC, FINRA, and ERISA).
- Broad knowledge of federal securities laws and
regulations.
- Act as appointed SEC AND FINRA regulatory liaison, managing
regulatory audits and exams.
- Familiar with rules governing compliance with GIPS reporting
standards.
- Has management abilities to oversee the enhancement and
implementation of firm operational processes and procedures.
- Ability to work independently in a fast-paced environment.
For more information contact: Lynn Tyburski (617)728-4100 -
lynn@fanning-boston.com
#J-18808-Ljbffr
Keywords: Fanning Personnel, Pawtucket , CHIEF COMPLIANCE OFFICER, Executive , Boston, Rhode Island
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