Job Title: Deputy Chief Compliance Officer (DCCO)
Company: A fast growing full service investment bank is looking to bring on a Deputy Chief Complinace Officer to their team. In this position you'll have the ability for growth and development with direct exposure to senior leadership. This role sits in a hybrid structure and reports directly into the CCO.
Responsibilities:
Assist the CCO in developing, implementing, and monitoring compliance policies and procedures to ensure adherence to applicable laws, regulations, and industry standards, including but not limited to SEC, FINRA, and state regulations.
Conduct regular compliance reviews and testing of internal controls to identify and mitigate potential compliance risks. Develop and maintain a comprehensive compliance monitoring program to assess the effectiveness of controls and processes.
Collaborate with the CCO to design and deliver compliance training programs for employees to enhance awareness and understanding of regulatory requirements and firm policies. Provide ongoing support and guidance to staff on compliance-related matters.
Prepare and submit regulatory filings, disclosures, and reports as required by regulatory authorities. Ensure timely and accurate completion of regulatory reporting obligations, including Form ADV, Form PF, and other regulatory filings.
Lead or assist in conducting internal investigations in response to compliance incidents, allegations of misconduct, or regulatory inquiries. Coordinate with legal counsel and other stakeholders as necessary to resolve compliance issues and implement corrective actions.
Identify, assess, and manage compliance risks associated with the firm's business activities. Develop and implement risk mitigation strategies to safeguard the firm's reputation and financial integrity.
Collaborate with the CCO and other stakeholders to develop and update compliance policies, procedures, and guidelines in response to regulatory changes and industry best practices.
Serve as a liaison with regulatory agencies, external auditors, and industry organizations to stay abreast of regulatory developments and best practices. Represent the firm in regulatory examinations, audits, and other interactions with regulatory authorities.
Qualifications:
- Bachelor's degree in finance, business administration, law, or a related field. Advanced degree (e.g., JD, MBA) and relevant professional certifications (e.g., CAMS, CFE, CSCP) preferred.
- 5-10 years of experience in compliance roles within the financial services industry, preferably in investment advisory or asset management firms.
- Strong understanding of securities laws, regulations, and industry standards applicable to investment advisers, including the Investment Advisers Act of 1940 and related regulations.
- Demonstrated experience in developing and implementing compliance programs, policies, and procedures.
- Proven leadership ability and experience managing compliance teams and projects.
Apply in if you think this role pertains to you!
