Chief Compliance Officer
About the Company
Advertising & customer loyalty firm with a focus on branding
Industry
Insurance
Type
Privately Held, VC-backed
Founded
2006
Employees
2-10
Specialties
About the Role
The Company is seeking a Chief Compliance Officer (CCO) to lead and oversee the compliance program for one of its registered entities. The CCO will be responsible for ensuring that the entity adheres to all relevant securities laws and regulations, including the Investment Company Act of 1940, Securities Act of 1933, and Securities Exchange Act of 1934. This role involves providing expert compliance and regulatory advice, identifying and mitigating compliance risks, and developing and implementing policies and procedures to maintain a strong compliance framework. The successful candidate will also be involved in training, administering the Code of Ethics, and coordinating with various internal and external stakeholders, including regulatory agencies. Applicants for the CCO position at the company should have a minimum of 10 years' of compliance experience in the financial services industry, with a focus on investment advisory programs. A solid understanding of the Investment Advisors Act of 1940 and related securities laws is essential. The role requires the ability to manage multiple tasks, analyze complex situations, and provide guidance in a timely manner. The ideal candidate will have a proven track record of leadership, strategic thinking, and successful collaboration with business partners. Strong interpersonal skills, a strong work ethic, and a Bachelor's degree are also required. The CCO will be expected to work closely with senior leaders, conduct risk assessments, and ensure the effectiveness of the compliance program through regular reviews and updates.
Hiring Manager Title
Enterprise CCO
Travel Percent
Less than 10%
Functions
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