Chief Compliance Officer
About the Company
Advertising & customer loyalty firm with a focus on branding
Industry
Insurance
Type
Privately Held, VC-backed
Founded
2006
Employees
2-10
Specialties
About the Role
The Company is seeking a Chief Compliance Officer (CCO) to lead and oversee the compliance program for one of its registered entities. The CCO will be responsible for ensuring that the entity adheres to all relevant securities laws and regulations, including the Investment Company Act of 1940, Securities Act of 1933, and Securities Exchange Act of 1934. This role involves providing expert compliance and regulatory advice, identifying and mitigating compliance risks, and developing and implementing policies and procedures to maintain a strong compliance framework. The successful candidate will also be involved in training, administering the Code of Ethics, and coordinating with various internal and external stakeholders, including regulatory agencies. Applicants for the CCO position at the company should have a minimum of 10 years' of compliance experience in the financial services industry, with a focus on investment advisory programs. A solid understanding of the Investment Advisors Act of 1940 and related securities laws is essential. The role requires the ability to manage multiple tasks, analyze complex situations, and provide guidance in a timely manner. The ideal candidate will have a proven track record of leadership, strategic thinking, and successful collaboration with business partners. Strong interpersonal skills, a strong work ethic, and a Bachelor's degree are also required. The CCO will be expected to work closely with senior leaders, conduct risk assessments, and ensure the effectiveness of the compliance program through regular reviews and updates.
Hiring Manager Title
Enterprise CCO
Travel Percent
Less than 10%
Functions
...Title: Research Assistant Location: Redmond, WA Duration: 12 months Compensation: $36 - $39/hr Work Requirements: US Citizen,... ...reality. KEY SUCCESS FACTORS Bachelor's degree in psychology, cognitive science, computer science, engineering, or...
...Assistant Editor GIE Media Inc., a B2B media company serving a wide range of industries, is seeking an Assistant Editor to join our... ...industry contacts in person and on the phone Working with the editorial team to create and deploy enewsletters Contributing to the...
Overview: POSITION PURPOSE: Plans and provides for appropriate classroom learning experiences for students. Provides an atmosphere and environment conducive to the intellectual, physical, social and emotional development of individuals to ensure success for every ...
...Opportunity Velocity Rail Solutionsis seeking a dependable CDL Class A Driver with Hazmat and Tanker endorsements to join our elite team... ..., or uneven surfaces Able to climb in and out of a truck cab multiple times per shift and climb a ladder or steps 10 or...
...Job Description Job Description GENERAL SUMMARY: The Trust 1 Apprentice is responsible for assisting in the install and servicing of plumbing, heating, and cooling units, following all applicable codes, under the direction of a technician. The Apprentice is also...