What are the responsibilities and job description for the Deputy Chief Compliance Officer position at Mission Staffing?
Our client is seeking a Deputy Chief Compliance Officer to help oversee and enhance its investment management compliance program. Reporting to the Head of Legal & Compliance, this individual will serve as a key compliance leader, partnering with senior management, investment professionals, trading, operations, marketing, and client service teams to ensure the firm remains compliant with SEC regulations and industry best practices.
Responsibilities include:
- Help lead and administer the compliance program for multiple SEC-registered investment advisers.
- Oversee compliance monitoring, regulatory reporting, annual compliance reviews, and risk assessments.
- Develop, maintain, and enhance compliance policies and procedures.
- Administer the firm's Code of Ethics, including personal trading pre-clearance and monitoring.
- Partner with portfolio managers and traders on investment guideline monitoring, trading compliance, best execution, and valuation matters.
- Review marketing materials and investor communications for regulatory compliance.
- Lead SEC examinations, regulatory inquiries, and remediation efforts.
- Supervise and mentor junior compliance professionals while overseeing compliance testing and reporting.
- Utilize compliance monitoring systems, including Charles River, to oversee investment restrictions and trading activity.
Requirements:
- 10 years of compliance experience within an SEC-registered investment adviser or asset management firm.
- Strong knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, and SEC/FINRA regulations.
- Experience leading compliance programs, annual reviews, regulatory examinations, and compliance testing.
- Prior management experience supervising compliance staff.
- Hands-on experience with Charles River compliance monitoring is highly preferred.
- Bachelor's degree required; JD strongly preferred.
Excellent leadership, communication, and organizational skills with the ability to partner across business units
Salary : $80 - $85