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Jobs for the Chief Compliance Officer (CCO)
 
Our choice:
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www.ritesite.com
 
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From Careerbuilder:
 
Example 1:
 
Chief Compliance Officer (CCO) (Broker Dealer)

About the client
Our client is a bank owned broker dealer firm with a large international presence. Currently the firm is looking to hire a Chief Compliance Officer (CCO) to manage the firms Core Compliance functions.

Job description
The Chief Compliance Officer (CCO) will be responsible for the following:

Develop and maintain supervisory procedures.
Monitor new regulatory mandates, rules, and requirements
Main point of contact with regulators, and auditors.
Act as point of contact for the Investment Advisory business.
Serve as the Anti-Money Laundering (AML) Officer.
Develop procedures to ensure compliance with all continuing education requirements for firm and individuals.
Draft a compliance plan and perform an annual compliance risk assessment.
Review employees brokerage statements, e-mail, and IM Messages.

What's on offer
Base, bonus and benefits package.

Job Requirements
Who we are looking for
The Chief Compliance Officer (CCO) will have met the following requirements:

6-10 years experience in a Compliance function of a Broker Dealer firm
2-4 years experience with Investment Advisory work
Bachelors is preferred.
Series 7, 24 and 63

For further information you may visit www.careerbuilder.com

 
Example 2:
 
Chief Compliance Officer (CCO) (Global Asset Manager)
 
About our client
Leading Global Asset Manager

Job description
Multi billion dollar asset manager is looking for a Chief Compliance Officer. The candidate must have a broad 40 Act compliance background from the asset management/hedge fund industry. The candidate must be able to manage a group, draft firm wide policies and procedures, handle all compliance related responsibilities. Strong skills in investment management compliance and/or mutual fund will be preferred.

What's on offer
Salary and bonus is open and competitive.

Job Requirements
Who we are looking for
The ideal candidate will have 10-15 years plus experience in 40 Act hedge fund/asset management compliance. The candidate should currently be a Chief Compliance Officer or a Deputy Compliance Officer looking to make a step up and take a first in line position. The role will require a senior level of expertise in drafting policies & procedures, being involved in all complex compliance related issues and managing a compliance department based in New York City. This is a dynamic global organization. Candidates must be top tier with excellent asset management compliance experience, impressive track record, a strong work ethic.
 
For further information you may visit www.careerbuilder.com

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