Director of Compliance
|Denver, Colorado - United States
$120,000.00 - $180,000.00 - US Dollars - Yearly
WHY IS THIS A GREAT OPPORTUNITY?
Legacy Multi Family Office expanding into the Denver Front Range with an RIA, full commercial banking products and services. Customers of the RIA with $5M + in AUM have full access to the suite of family office products and services to include by are not limited to: Tailored SEG funds, bill paying, concierge services, mortgage loans, unsecuried lines of credit, real estate acquistion loans, treasury management services.
Our client is a registered investment advisor managing $1 Billion in assets, is searching for a Chief Compliance Officer to manage all aspects of the firm's compliance program.
In addition to compliance, the full-time job may include some additional responsibilities depending on the background and interests of the person hired.
KEY FUNCTIONS AND RESPONSIBILITIES:
- Manage, implement, operate and be responsible for the firm's compliance program.
- Monitor and test the firm's policies and procedures to determine the adequacy and effectiveness of the firm's compliance program.
- Prepare and submit all required regulatory filings and disclosure documents in a timely and accurate manner.
- Train and educate employees on regulatory compliance matters.
- Maintain well organized systemic records of the firm's compliance program.
- Act as a point of contact for regulators (SEC, FINRA).
- Serve as a member of the Investment Committee and assist with investments.
- Fulfill an active and important role on the leadership team.
- Provide support to operations team.
- 10+ years overall industry experience.
- 5+ years of experience working directly within compliance and operations within a RIA setting.
- Experience / passion for customer experience excellence, operational, product, service, and delivery improvements.
- A balanced vision on strategy, operations and execution.
- Strong knowledge and understanding of regulatory filings and relevant regulations and laws.
- Participate in the day-to-day administration of the the 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
- Experience with the SEC is a plus.
- Experience with Advent Partner and APX is a plus
- Unquestionable integrity and dependability.
University - Bachelor's Degree/3-4 Year Degree