Deputy Chief Compliance Officer
A company is looking for a Deputy Chief Compliance Officer, responsible for developing and administering the firm's Compliance Program. Key Responsibilities Assist in the development and maintenance of the firm's compliance program Manage compliance projects and oversee internal investigations into compliance violations Supervise Compliance Team members and provide coaching and mentoring as needed Required Qualifications, Training, and Education Bachelor's Degree from an accredited institution required Current admission in good standing to the State Bar of at least one U.S. state required Minimum of 10 years of regulatory compliance experience in the securities industry required Minimum of 3 years of supervisory experience required Strong understanding of relevant federal securities laws and fiduciary governance principles
A company is looking for a Deputy Chief Compliance Officer, responsible for developing and administering the firm's Compliance Program.
Key Responsibilities
Assist in the development and maintenance of the firm's compliance program
Manage compliance projects and oversee internal investigations into compliance violations
Supervise Compliance Team members and provide coaching and mentoring as needed
Required Qualifications, Training, and Education
Bachelor's Degree from an accredited institution required
Current admission in good standing to the State Bar of at least one U.S. state required
Minimum of 10 years of regulatory compliance experience in the securities industry required
Minimum of 3 years of supervisory experience required
Strong understanding of relevant federal securities laws and fiduciary governance principles
