Thursday, October 9, 2014

Chief Compliance Officer

Chief Compliance Officer

Compliance Search - Dallas

A SEC-registered investment adviser seeks a Chief Compliance Officer (CCO)
who will be primarily responsible for supporting the compliance functions
of the firm
*s B/Ds and retail RIAs, the candidate will also provide support to the firm
*s institutional RIAs and Funds.
* Review and approve marketing materials including mutual fund and
institutional materials
* Review registered representative emails and follow up on any potential
* Help maintain, revise and review the firm
*s compliance procedures
* Perform compliance testing and assist with the preparation of the annual
reviews for both the broker-dealers and RIAs
* Assist in responding to regulatory inquiries
* Make required regulatory filings (U4, U5, BD, BR, ADV, Form 3, etc.)
* Assist with compliance training and CE requirements
* Ongoing maintenance of the firm
*s books and records
* Reconciliation of brokerage statements relating to employee personal
* Management of gift policy
* Keep current on, analyze, and understand regulatory requirements and
compliance procedures
* Must have a minimum of 5-10 years of regulatory or compliance experience
* Extensive knowledge of FINRA Rules a must, prefer a candidate with
additional knowledge of Investment Company and Investment Advisers Acts
* Series 7, 24 and 63 licenses required
* Strong analytical and problem solving skills
* The ability to manage multiple projects efficiently
* Excellent organizational, interpersonal, writing and presentation skills
* Ability to work an average of 50 hours per week
* Bachelor's degree from a well-regarded university
* Competitive base salary and discretionary bonus based on performance.

To apply please submit resume to Jack Kelly

Compliance Search