Chief Compliance Officer - Denver, Colorado United States - 46392
Chief Compliance Officer
Denver, Colorado - United States
$145,000.00 - $195,000.00 - US Dollars - Yearly
Employer Will Recruit From:
WHY IS THIS A GREAT OPPORTUNITY?
Denver, CO based opportunity for a #2 or #3 Compliance Officer to advance their career to a Chief Compliance Officer for a leader in outsouced CIO and Compliance functions for RIA, Wealth Managers, Endowments. Est in 2007, replacing a CCO who is joining Deloitte in March to gain additional industry experience (this is the Investment Advisory Industry). Big company resources and sophisticated applications out of NY with a Denver Regional Team focused on Compliance.
Lead the day-to-day administration of the clients advisory compliance program by developing and maintaining an inventory of rules (“Investment Guidelines”) stemming from Investment Company Act (’40 Act), Investment Advisers Act, CFTC and IRS regulations as well as the requirements of the prospectus, SAI and policies established for registered products.
Identify risks and conflicts of interest related to the client's business model, work with internal groups to assess risks and conflicts and develop related procedures and controls to mitigate them
Review and approve marketing and client communications to ensure they meet regulatory requirements (generally performed daily)
Manage and coordinate preparation of adviser-related regulatory filings (e.g., Form ADV, Form PF, Section 13 filings, NFA CTA-PR)
Establish and review daily, monthly and quarterly investment compliance report, Act as compliance liaison to several internal committees
Perform initial and ongoing anti-money laundering reviews
Review important areas of compliance such as allocation of investment opportunities, performance dispersion across client accounts, and relevant investment guidelines
Work closely with client's portfolio managers as well as middle and back-office operations functions to address, from a compliance perspective, operational issues related to management of multiple accounts
Assist in drafting and evaluating policies and procedures with respect to the business and asset management as a whole
Manage and coordinate compliance reviews conducted by third parties and responses to findings, as applicable
5-10 years of compliance, regulatory risk, or operations experience with an investment advisory firm
Understanding of ’40 Act, Investment Advisers Act and CFTC compliance requirements
Preferred experience with multiple security types and products, such as equity, fixed income and alternative investments, such as swaps, futures, forwards, options and structured products
Intuitive sense of honesty and highest ethical standards
Strong experience with spreadsheets is preferred, including knowledge of utilizing advanced formulas
Proficiency with Eze Castle Order Management System, Bloomberg and MS Office is preferred and ability to learn new systems quickly is required
University - Bachelor's Degree/3-4 Year Degree