Chief Compliance Officer

Position Overview

The Chief Compliance Officer is responsible for the development and maintenance of the firm's compliance program. The position is also responsible for preparation and submission of the firm's regulatory filings and the preparation of the firm's client services agreements. The position also oversees the firm's human resources function, including human resources compliance, payroll and employee benefits.

Primary Responsibilities

Compliance Program Oversight

• Develop, implement, and maintain the firm's compliance program, policies, and procedures in accordance with SEC regulations and industry best practices
• Perform periodic reviews and testing of policies and procedures to ensure effectiveness and adherence
• Serve as the primary point of contact for regulatory examinations and inquires, including the preparation of responses an...