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Jobs for the Chief Compliance Officer (CCO)
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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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