Senior Principal Consultant/Outsourced Chief Compliance Officer

The Opportunity:

The Senior Principal Consultant/Outsourced Chief Compliance Officer is responsible for Investment Advisor compliance clients, particularly RIAs managing private funds and/or registered products (ETFs and/or mutual funds),and provides those clients with expert advice and guidance related to the design and implementation of their compliance programs. This role can be based out of New York, Pittsburgh, Chattanooga, Portland/Maine, Boston, Chicago, Boca Raton, Miami, San Francisco, Los Angeles, Dallas or Houston.

What you’ll do:

• Serve as the outsourced chief compliance officer for RIA compliance clients. Lead a 3-person team to deliver compliance programs consistent with SEC regulatory requirements
• Provide clear, focused, and practical guidance to clients based on SEC regulations
• Conduct (scheduled and ad hoc) conference calls and online meetings with client executives to deliver guidance and advice with respect to regulatory best practices
• Develop compliance work product for clients (written policies and procedures, Form ADV disclosures, risk assessments, compliance calendar)
• Liaise with Fund CCOs and compliance staff, assisting the RIA with periodic Fund compliance questionnaires and certifications
• Conduct annual 206(4)-7 examinations
• Lead and coach clients through SEC regulatory exams
• Maintain firm records (calendars, project workflows, and status updates), accounting records, and time reporting
• Assist clients with compliance questions and other needs
• Use creative thinking to brainstorm new services that add value to client relationships
• Assisting in enhancing internal workflow and processes
• Produce and deliver externally focused compliance content (e.g. webinars, research notes, white papers)
• Attend conferences and meetings as requested
• Conduct self in a professional manner
• Responsible for reporting to senior management, including any potential or perceived violations of applicable laws, rules or Company policies
• Other tasks and projects as assigned

 

 

To qualify for the role you must have:

• Minimum six (6) years of Investment Adviser Compliance Experience (consulting or in-house), experience with registered product and/or private funds is required
• Advanced knowledge of the Investment Advisers Act of 1940 and state laws, knowledge of the Investment Company Act of 1940 is a plus
• Executive presence – a professional who interacts effortlessly with regulators and high-profile clients
• Excellent oral and written communication skills
• Detail-oriented and multi-task capability
• Independent Self-Starter – the ability to organize workload and meet deadlines
• Service orientation with proven ability to provide superior customer service
• Understanding of web-based technology applications and willingness to provide input in enhancements and new solutions
• Ability to work both independently and as part of a team
• Customer-focused attitude
• Time management and organization skills, with a strong attention to detail
• Strong written communication and oral communication skills

 

Skills and attributes for success:

• Demonstrated professional integrity.
• Dependable, flexible, and adaptable to new ACA initiatives and changing client needs.
• Ability to exercise discretion and make independent judgments on matters of significance.
• Ability to work in a fa