about 2 months ago
A prestigious financial services client of ours is looking to add an Assistant Vice President of Compliance to their team in Los Angeles, Chicago, or Phoenix area. This role reports to the Deputy Chief Compliance Officer. This position is responsible for fulfilling the day-to-day responsibilities of the compliance program for the companies registered and non-registered advisers, as required by applicable statutory, regulatory and ethical requirements.
- Risk Assessment and Testing.
- Directing regular risk assessments of the activities and operations of assigned entities to establish or modify the components of the compliance program.
- Preparing and implementing a compliance testing program based on the foregoing risk assessment.
- Revising the risk map and risk matrix.
- Regulatory Filings and Exams.
- Drafting regulatory and/or federal filings, including the Form ADVs, PFs, Department of Treasury Surveys and any filings associated with the companies foreign activities.
- Responsible for monitoring activities with regard to lobbying and filing reports with state and local authorities.
- Assisting with compliance projects related to data privacy, data destruction, new funds/vehicles, etc.
- 5 years’ experience in Investment Adviser compliance.
- Knowledge of both Investment Advisers Act of 1940 and Securities Exchange Act of1934.
- Bachelor’s degree