Chief Compliance Officer
About the Company
Strategic holding company acquiring and indefinitely managing various professional service businesses
Industry
Capital Markets
Type
Privately Held
Founded
2017
Employees
11-50
Categories
About the Role
The Company is seeking a Chief Compliance Officer to join their team. The successful candidate will be responsible for designing, establishing, and leading a comprehensive compliance function that aligns with the company's strategic goals. This pivotal role involves ensuring regulatory adherence, managing risk, and fostering a culture of integrity. The Chief Compliance Officer will work closely with the executive team to develop and implement processes that enhance efficiency and mitigate risk, particularly in the RIA space. The role demands a candidate who is commercially minded, capable of acting as a liaison with regulatory bodies, and can conduct compliance due diligence for each acquisition. Person requirements include unquestionable integrity, a proactive and results-oriented attitude, and the ability to work in a fast-paced, PE-backed business or similar context. A minimum of 6 years' of experience in compliance roles within the financial services industry, with a strong preference for RIA experience, is required, along with a JD. The ideal candidate will have a proven track record in standing up compliance management systems in an RIA environment and a deep understanding of legal processes related to RIAs. The Chief Compliance Officer should be an excellent trainer, educator, and a strong communicator, with the ability to manage and educate teams on compliance best practices. Certifications such as Certified Compliance and Ethics Professional (CCEP) are preferred. The company is committed to diversity, equity, and inclusion and encourages candidates from a range of backgrounds to apply.
Hiring Manager Title
CEO
Travel Percent
Less than 10%
Functions
Orthopedic Surgeon, step right into an established practice in Northeast Nebraska with the ability to molditto your training and interests! You will have the support of a highly experienced, well-respected team of Physical Therapists and a Physician
...stable company with room for advancement?? If you answered "yes" to those questions then Environment Control is looking for you! Cleaning medical office space and exam rooms. Flexible hours starting at 6pm Monday through Friday and after 1pm on Saturday's...
...Job purpose: As a Store Manager, you are passionate about the world of beauty and cosmetics and ready to become the custodian of the... ...process Strong customer service skills Proficient in Microsoft Office and retail management software Proficiency in English...
...Previous experience in a leadership or management role, preferably in the food service or hospitality industries. Any additional Chick-fil-A experience could increase your wage. - Demonstrated ability to motivate and coach team members, manage multiple priorities, and...
...The Superintendent is responsible to support the General or Senior Superintendent in overseeing one or more operational areas of a construction project. This position may coordinate and schedule multiple... ...role you may be required to travel up to 100% of the time. **...