Deputy CCO - Advisory

ascendo resourcesMiami, FL4 days ago

Occupations

Compliance Managers Compliance Officers Regulatory Affairs Managers

Industries

Portfolio Management and Investment Advice Miscellaneous Financial Investment Activities Investment Banking and Securities Intermediation

Seeking an experienced Deputy Chief Compliance Officer who will be responsible for oversight of a compliance program for a Registered Investment Adviser (RIA).This is a senior, hands-on compliance role requiring deep knowledge of SEC regulations, investment advisory compliance, surveillance, supervision, and regulatory examinations.

Responsibilities:

Support the development, implementation, and ongoing enhancement of the RIA compliance program
Maintain and administer the Firm’s Code of Ethics and related policies and procedures
Monitor SEC regulatory developments and assess their impact on the business
Conduct compliance monitoring, surveillance, new business, and transaction reviews
Identify compliance and regulatory risks and implement appropriate controls and corrective actions
Serve as a key compliance resource for investment professionals and internal stakeholders
Support regulatory examinations, audits, and information requests, including coordination with outside counsel and consultants
Oversee remediation and corrective actions resulting from regulatory or internal reviews
Review and enhance written supervisory and compliance procedures
Lead compliance initiatives related to new investment products and offerings
Support compliance training, education, and onboarding of investment professionals
Partner with Supervision and other internal teams on heightened supervision and client communications

Qualifications:

Bachelor’s degree in Finance, Business Administration, or related field 8+ years of securities industry experience in compliance and/or a supervisory capacity
Strong knowledge of SEC regulations and Registered Investment Adviser compliance requirements
Experience with regulatory examinations, surveillance, supervision, and compliance testing
Preferred licenses - Series 7 and 24 Series 65 Strong analytical, organizational, and communication skills
Bilingual English/Spanish required;

Apply now

Level

ManagerL7

Location

Miami, FL

Occupation

Compliance Managers

Industry

Portfolio Management and Investment Advice

Posted

4 days ago

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