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Jobs for the Chief Compliance Officer (CCO)
Our choice:
RiteSite's Custom
Career Service
www.ritesite.com
What makes RiteSite better than the
other employment sites from the recruiter's point of view?
RiteSite has many unique features. Note its exceptionally
precise sorting methods. Also, although you won't see them until
you register, RiteSite has an array of "Worktable" tools.
They automate search administration in ways that other sites
don't even address. Most important of all, of course, is the
fact that executives grant RiteSite an unusually high degree of
trust and participation, because
1) it's associated
with Rites of Passage and
2) it demands and displays
checkable identity information from the recruiters and employers
who use it. And, finally, RiteSite -- being mainly supported by
fees from executives - provides both its job postings and its
unique search-administration tools free of charge.
Who will I
find in RiteSite's Resume Database?
Upwardly mobile executives who are making their achievements
known because they're interested in career advancement. Many are
readers of Rites of Passage. They are sophisticated about their
careers, and well aware that they should know and cooperate with
outstanding recruiters whenever the opportunity arises.
Rites readers respond … even if just to help identify other
prospects for jobs that aren't appropriate for them.
Do I have
to register to search the database?
No, the database is open to everyone. BUT, for your
protection and that of the executive, you do have to be
registered to contact prospects through RiteSite.
Besides being able to contact executives regarding their
resumes, what other advantages do I gain by registering?
Registered recruiters and employers can post an unlimited number
of jobs entirely free of charge.
Recruiters from the
list of highly respected retainer-compensated firms honored in
Rites of Passage are allowed to post jobs anonymously ...
identified only as a "Rites-Honored Recruiter."
What is a
"Rites-Honored Recruiter" and how many are there?
These are the recruiters of the 582 retainer-only firms
listed as "outstanding" in Rites of Passage. There are
approximately 2,000 recruiters in those firms.
How can I
find out if my firm is Rites-Honored?
Just click the "Who's Rites-Honored?" link on the left, to
view a comprehensive list of the Rites-Honored firms and all the
offices from which they operate.
This is my first visit
to RiteSite. I'm not registered and haven't paid anything. Yet I
can see resumes. Whose are they? And why are you letting me see
them?
That's our database of Identity-Concealed Resumes
placed there by executives who've purchased Custom Career
Service. They want their achievements easily found by anyone who
might want to approach them with an outstanding offer.
The only way to do that is to send an e-mail forwarded by
RiteSite's computer. They respond if interested, or stay hidden
if not. You must register (free of charge) before you can e-mail
them.
Is there another database of resumes I
cannot see?
Yes.
Most purchasers of CCS select the Rites-Honored Option to put an
Identity-Revealed Resume -- the same one they'd use in a direct
mail campaign -- into a separate database that can only be
viewed by recruiters from the 582 Rites-Honored firms.
If you're from a Rites-Honored firm -- and registered -- these
people are as accessible to you on RiteSite as if they were in
your own firm's database.
Do I have
to identify myself and my firm when I post on RiteSite?
Yes. RiteSite emphasizes identity! If you're with one of the
582 exclusively retainer-compensated firms honored in Rites of
Passage, we'll label you a Rites-Honored, and you can post
without further identification.
All other recruiters
and employers must provide their name, their firm's name, its
street and e-mail addresses, and its listed phone number, which
will be reported whenever their postings are viewed or printed.
The Internet abounds with headhunters of unverifiable
identity.
If you choose to post on RiteSite, you'll
benefit from the credibility that comes from being in a place
that caters only to participants who are willing to identify
themselves.
In other words, postings by recruiters from
Rites-Honored firms don't display detailed identifying
information, but postings by other recruiters and employers do.
Is that correct?
Yes, that is correct. Verified
Rites-Honored recruiters and employers may post with no
identification beyond RiteSite's standard notation of their
status.
All other parties must individually identify
themselves and their affiliation, whether it's a search firm or
a corporation.
How private and confidential is my
search administration data on RiteSite?
Information you have on RiteSite is solely your personal
property, just as if it were on your own computer in your own
home or office.
The only exception would occur if your
search firm or company were to assign you and others to share
information on RiteSite while working together on mutual
propjects.
Otherwise, if others from your firm or
company also take advantage of RiteSite, you will not be able to
access their files and they will not be able to access yours.
Every Monday
Top 10 risk and compliance management related news stories and
world events
Do you want
to receive every Monday the Top 10 risk and compliance
management related news stories and world events that (for
better or for worse) shaped the week's agenda, and what is next?
You may submit the form that follows. We meet strict
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unsubscribe at any time.
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
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.
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