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Job

Chief Compliance Officer

  • Location

    Los Angeles (Hybrid / Remote possible)

  • Sector:

    Financial Services and Banking

  • Job type:

    Permanent

  • Salary:

    $175,000 - $200,000 + Bonus

  • Contact:

    Matt Lang

  • Contact email:

    m.lang@hamlynwilliams.com

  • Salary high:

    0

  • Salary low:

    0

  • Published:

    22 days ago

  • Expiry date:

    2022-08-03

  • Startdate:

    ASAP

An Investment Management client of ours is looking for an experienced Chief Compliance Officer. This firm are based in Pasadena, but the role itself can be remote / hybrid.

The Chief Compliance Officer will be the primary compliance and oversight professional to help the business develop and manage the compliance function at, including compliance matters with respect to all FINRA and SEC regulated activities. You will coordinate review of advertising, promotional materials and other communications to ensure compliance with applicable standards. Holding current Securities licenses 7, 24 & 63 are required, as is 10+ years compliance experience, including working in-house at a Fintech platform and broker dealer, with at least 5 years in a lead compliance role.

Responsibilities:

  • To work in tandem with the Product and Technology, Marketing, Investment Banking and Operations teams; along with Outside Counsel and Regulatory Consultants to manage FINRA and SEC compliance and supervision
  • Collaborate on the development, implementation and oversight of the regulatory framework, compliance policies, and procedures to ensure compliance with FINRA and SEC guidelines, rules and regulations, take a leading role responding to regulatory inquiries, investigations, audits and reviews
  • Spearhead efforts to ensure practices and procedures are in-line with financial industry standards and expectations of regulators, investors and intermediaries.
  • Specific areas of responsibility include, without limitation:
  1. Regulatory structure and framework strategy including WSPs
  2. Private Placement compliance, due diligence and filings – focused on Reg CF, Reg A and Reg D investment flows
  3. Retail communications and advertising
  4. Training, Compliance reviews, audits and information requests
  5. Functioning as the AML Officer for the business

Experience:

  • 10+ years compliance experience, including working in-house at a Fintech platform (ideally) and broker dealer
  • Prior management of FINRA and SEC compliance reviews, inquiries and audits
  • Dedicated broker-dealer private placement compliance experience (Reg CF, Reg A and Reg D) IS A MUST
  • Experience with formation of a registered investment adviser helpful
  • Experience in Fintech and online investing platforms
  • Hold Securities Licenses: Series 7, 24 & 63

If this opportunity is of interest to you, please get in touch!