Chief Compliance Officer
Qualified candidates, please attach resume when applying.
Our client, a leading international developer, is seeking a Chief Compliance Officer in their NYC based office.
The right candidate will have compliance experience with an SEC registered investment advisor, broker-dealer, or mutual fund company. This person should be a self-starter, assertive, confident, and enthusiastic to be part of the management team. This role will own and drive the development and administration of the Asset Management Compliance Program relating to its registration as a Registered Investment Adviser.
- Maintain WSPs, Compliance Policies and Procedures and Code of Ethics and performs regular reviews of compliance manual and related documents as necessary
- Work with senior management, field leaders to implement and enforce supervisory controls and related processes to ensure early detection and mitigation of potential compliance and supervisory failures
- Reports significant compliance issues and relevant updates, significant regulatory developments and internal compliance initiatives
- Coordinates and completes all government, regulatory and other corporate and compliance documents for the organization
- Prepare and submit annually a written report to SEC; updates and maintains all necessary documentation for SEC examinations of the firm, e.g. the Firm’s Form ADV
Qualifications and Requirements:
- Bachelor’s Degree required; graduate degree preferred, legal degree a plus.
- Minimum 5-8 years of compliance experience with an SEC registered investment adviser, broker-dealer or mutual fund company.
- Familiar with all SEC-registered investment advisor rules and regulations, including the Investment Advisors Act of 1940, and the ability to apply that knowledge strategically in light of changing regulation and business initiatives.
- Working in an English/Chinese bilingual environment
- Proven ability to identify, solve and prevent compliance issues