Currently partnered with a leading Registered Investment Management firm in search of a highly qualified Deputy CCO. This key role will assume responsibility for overseeing the firm's comprehensive marketing review processes, ensuring adherence to regulatory standards and industry best practices. The successful candidate will play a pivotal role in upholding compliance integrity within the dynamic landscape of the investment management sector.
This role offers a clear path to their CCO position.
Deputy CCO Responsibilities:
- Analyzes sales materials to ensure compliance with regulations (Investment Advisers Act, Investment Company Act, SEC, and FINRA).
- Files marketing materials with FINRA promptly.
- Provides review and surveillance support for social media communications.
- Advises sales and marketing teams on compliance-related issues.
- Creates processes and drafts procedures for compliance activities.
- Assists in departmental compliance projects, including annual compliance testing.
- Offers general compliance support to sales channels.
- Ensures compliance by examining records, reports, practices, and documentation.
- May assist in coordinating or conducting Compliance training.
Deputy CCO Qualifications:
- Bachelor's degree.
- Thorough understanding of financial services industry regulations (SEC, FINRA, FCA, etc.).
- Technical proficiency in testing methodology, risk analysis, and controls.
- Strong communication, interpersonal, and analytical skills.
- Ability to thrive in a fast-paced environment, handling complex situations.
