- Assist the CCO in interpreting and applying regulatory requirements relevant to the firm's operations, including SEC regulations, FINRA rules, and state securities laws
- Provide oversight of the firm's compliance activities, including compliance monitoring, testing, and reporting
- Collaborate with the CCO and other stakeholders to develop, implement, and maintain compliance policies, procedures, and guidelines
- Develop and deliver compliance training programs to educate employees about regulatory requirements, firm policies, and ethical standards
- Prepare and submit regulatory filings, disclosures, and reports as required by regulatory authorities, such as Form ADV, Form PF, and other regulatory filings
- Identify, assess, and manage compliance risks associated with the firm's business activities. Develop and implement risk mitigation strategies to address regulatory, operational, and reputational risks
- Lead or assist in conducting compliance investigations in response to compliance incidents, allegations of misconduct, or regulatory inquiries
- Prepare for and assist with regulatory examinations, audits, and inquiries conducted by regulatory agencies
- Provide guidance on ethical dilemmas, conflicts of interest, and other compliance-related matters. Oversee the firm's code of conduct and whistleblower programs
- Serve as a liaison with regulatory agencies, industry associations, and external auditors
- Possess 8+ years of experience in compliance related roles
- Hold 5+ years of experience working within an SEC-regulated investment advisory firm
- Previous experience managing regulatory audits and examinations
- Preference for candidates with a Juris Doctor (JD) degree
- Series 7 certification
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Deputy Chief Compliance Officer - Kansas City, United States - Larson Maddox
Description
Our client, a growing Investment firm, is seeking a highly qualified and experienced Deputy Chief Compliance Officer to join their compliance team. The ideal candidate has an established background with SEC, compliance programs, and the Investment Advisors Act of 1940.
Responsibilities:
Qualifications: