A premier institutional investment banking firm, and RIA, serving financial institutions across the United States seeks a Chief Compliance Officer.
The company is involved with Mergers & Acquisitions, Recapitalizations, Private Placement of Debt & Equity, Regulatory Advisory, Valuations & Fairness Opinions, Community Bank Capital Markets Services, Fund Raising, Corporate & Real Estate Finance.
The company also offers asset management services for private equity and credit opportunity funds that invest in bank and financial institution, and provides quality, comprehensive, and cost-effective retirement plan solutions for 401(k), 403(b), and 457 plan clients and their employees.
- Act as the Chief Compliance Office for the RIA, and the Broker-Dealer.
- Supervise the day to day regulatory obligations for the firm which include but are not limited to due diligence of product lines being offered, reviewing and approving advertising and email communications.
- Review monthly exception reports to monitor trading activity.
- Identify risks to the firm and conduct internal testing as needed on those areas.
- Address continuing education needs for the firm and assign applicable coursework.
- Review and revise the Written Supervisory Procedures, Policies and Procedures, and RIA-related documents as needed.
- Manage employee continuing education and licensing.
- Ensure the office adheres to broker-dealer and RIA rules and regulations.
- Review office procedures and identify areas where processes can be made more efficient.
- Work with the different business lines to ensure adequate procedures are in place.
- Work with Supervisors of each group to make sure they understand their obligations in this role.
- Conduct a monthly risk committee meeting
- Keep abreast of FINRA and SEC news and rules