CCO Position Opportunity

NXG Investment Management

CCO Position Opportunity in Texas:

This position is responsible for all aspects of the firm’s compliance program, including development, oversight and administration of written policies and procedures, regulatory filings, and internal approvals.

Examples of Tasks:

Develop and refine company policies and procedures.

Manage Corporate Ethics and Compliance Program.

Encourage a culture of integrity and ethical behavior.

Ensure firm is compliant with SEC and state regulatory requirements.

Ensure all filings are up to date.

Review marketing materials and contracts.

Perform employee compliance and cyber-security training.

Communicate with regulatory bodies as needed and manage regulatory examinations.

Review and maintain the firm’s compliance manual and other policies and procedures.

Required Skills:

• Knowledge of the securities industry’s rules & regulations

• Analytical skills

• Interpersonal skills

• Organizational and time management skills

• Client service orientation

• Ability to handle multiple tasks and operate on tight deadlines.

Educational Requirements:

• Minimum of Master’s degree in Business Administration, Finance or Law.

• At least 10 years compliance or equivalent experience

• Previous work with private funds, public funds, SMA accounts and hedge funds.

• In depth knowledge of Registered Investment Advisory compliance programs.

Please respond to info@nxgim.com