Chief Compliance Officer

Written By Ingrid Nordskog

Location: New York, NY

A midtown Manhattan investment adviser and broker dealer is actively seeking a dynamic and experienced professional to join the team as their new Chief Compliance Officer. In this role, the Chief Compliance Officer will be responsible for overseeing and implementing the compliance program for each firm and ensuring that the programs fulfill all relevant SEC, FINRA, and other regulatory requirements. The ideal candidate must be organized, a self-starter capable of effecting change, managing projects, and meeting deadlines as a team leader.

Responsibilities

The Chief Compliance Officer will be responsible for:

  • Knowing and staying current with SEC, FINRA, NFA, MSRB, and all other regulatory requirements applicable to the firms, and adapting the firms’ compliance program accordingly to changes

  • Reviewing and updating the firms’ policies and procedures on an ongoing basis for adherence to current and changing regulatory and business requirements

  • Meeting all regulatory filing requirements, including Forms BD, ADV, BR, U4, U5, as well as the requirements of the NFA, MSRB, and other applicable regulatory agencies

  • Completing electronic communication reviews, personal transaction reviews, outside business activities, and annual attestations and certifications

  • Reviewing and approving marketing documents and any other advertising or communications materials prior to distribution

  • Ensuring adherence to the firms’ overall Code of Ethics including mitigation of conflicts of interest

  • Monitoring and keeping current the Firms’ disclosure documentation regarding its broker dealer and investment advisory businesses

  • Conducting ongoing compliance forensic testing, annual compliance training, and involving the firms’ senior and supervisory professionals in support of the overall compliance program

  • Overseeing the firm’s compliance with the legal and regulatory requirements pertaining to registered and unregistered fund products

  • Managing and testing the firms’ Cybersecurity and Disaster Recovery plan and testing program

  • Overseeing and implementing the entirety of the compliance program, its design, execution, and reporting

Qualifications

  • Bachelor’s degree

  • 5-10 years of broker dealer and investment advisory compliance experience

  • Full knowledge and understanding of Investment Advisors Act of 1940 and related rules as well as federal and state securities laws, including the Securities Act of 1933, and the Securities Exchange Act of 1934

  • Demonstrated written and oral communication skills

  • Strong organization skills and attention to detail

  • Ability to analyze a problem and develop an effective solution

  • Series 7, 63, 24

  • Series 3, 4, 53, a plus, or soon after hire

Benefits

A competitive salary and benefits package is offered.

Ingrid Nordskog
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