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    Vice President and Compliance Officer - Cincinnati, United States - CLevelCrossing

    CLevelCrossing
    CLevelCrossing Cincinnati, United States

    4 weeks ago

    Default job background
    Description
    Communicate regulatory changes and trends with the client's management team and their employees, representatives, etc.
    Perform and/or oversee periodic testing of written policies and procedures to determine ongoing compliance
    Perform trading and best execution reviews; monitor/review personnel trading for conflicts of interest

    REQUIREMENTS
    Ability to oversee and carry out the implementation and on-going execution and enhancement of a full-scale compliance program
    Ability to work independently in a high demand/high productivity environment
    Work efficiently with high attention to detail and the ability to multi-task
    Carry a high level of team orientation; possess strong interpersonal communication skills and a passion to help team members and clients
    Demonstrate integrity—maintain client trust, confidentiality and code of ethics
    Strong verbal and written communication skills
    Dependable, accountable, adaptable, and flexible
    Ability to enthusiastically support and promote the goals of our firm and its clients

    EDUCATION AND EXPERIENCE
    Bachelor's degree (B.A.) or equivalent from four-year College or University
    5-7 years or more experience in financial industry compliance and/or operations; Preferably in a manager, officer or director role
    Experience with the current and proposed financial regulatory environment (SEC, FINRA, DOL/ERISA, CFTC)
    Knowledge of Securities Act of '33, Investment Advisers Act of '40, Investment Company Act of '40 and related federal and state regulations
    Experience with financial industry regulatory requirements, forms & systems required; Regulatory audit/exam experience preferred
    Specific knowledge of rules and exemptions governing hedge funds, private equity funds, '40 Act Funds and commodity pools helpful
    Familiarity with GIPS and other industry standards are a plus

    For more information:
    Please email

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