Vice President and Compliance Officer - Cincinnati, United States - Dinsmore & Shohl

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Jun 26, 2022
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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

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Dinsmore & Shohl LLP.

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