Job Description

TBG | The Bachrach Group provided pay range

This range is provided by TBG | The Bachrach Group. Your actual pay will be based on your skills and experience talk with your recruiter to learn more.

Base pay range

$225,000.00/yr - $275,000.00/yr

Additional compensation types

Annual Bonus

Our client is a top tier global asset management firm seeking to add a dynamic Chief Compliance Officer to manage their first in class Compliance program overseeing their registered investment adviser, private equity, private credit and commodity pool operator. The role will manage a small team of Compliance professionals and support the broker dealer with compliance initiatives.

Key responsibilities will include:

• Manage all policies and procedures based upon regulatory requirements and internal controls.
• Manage regulatory examinations and inquiries
• Conduct internal testing, surveillance and supervision
• Ensure all regulatory filings are submitted and maintained
• Provide oversight of branches and business units
• Review and approve marketing materials
• Monitor employee compliance and develop and lead Compliance training programs

Experience:

• 10+ years of asset management and broker dealer compliance experience at a registered investment adviser and broker dealer.
• BA required, JD or MBA preferred
• FINRA Series 7 & 24 required
• Strong knowledge of asset management and broker dealer compliance issues. Particular knowledge of FINRA, SEC CFTC, & NFA regulatory rules.
• Experience with retail broker dealer compliance issues is a plus.
• AML experience /ACAMS certification is a plus.

Seniority level

• Seniority level

  Executive

Employment type

• Employment type

  Full-time

Job function

• Job function

  Finance

• Industries

  Investment Management, Venture Capital and Private Equity Principals, and Investment Banking

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