Title: Chief Compliance Officer (CCO)
Company: Broker-Dealer and Registered Investment Advisor
Location: Midtown - New York, NY
Oversee, implement and participate in Broker-Dealer (BD) and Registered Investment Advisor (RIA) compliance programs.
RIA focus is separately managed accounts as well as unregistered investment partnerships.
BD offers Research and publishes research reports. About 30 total employees.
Draft, update and implement all firm policies and procedures both for our BD and RIA
Familiarity both BD and IA applicable regulations
Keep management up to date on new and proposed rules and Information Memorandums,
Oversee and directly participate in the maintenance and filings of Forms BD, ADV and blue sky registration,
Oversee and participate in OATS and ACT Reviews,
Oversee and participate in surveillance of employee trading, email and IM
Maintain and oversee watch and restricted lists,
Oversee Reg. AC and Rule 2711 Governing research Analysts’ conflicts of interest,
Familiarity with Hedge Funds Compliance issues,
Prepare responses to all regulatory inquiries and examinations,
Review firm marketing material,
Responsible for compliance monitoring and testing related to SEC Rule 206 (4)-7 and FINRA Rule 3012,
Familiarity with sales practices, Reg. SP and AML testing,
Oversee one Compliance Analyst
Series 7 and 24 Required (CURRENT)
To apply for this Chief Compliance Officer Job and get a quick response, please 1)review the Job Description.
2) E-mail your resume and cover letter to Stuart@RosenthalRecruiting.com or call (973) 826-0537 for more information.
Please feel free to inquire about other opportunities that may not or cannot be listed.