Description

　　Chris Willhite, CPA, at Robert Half has teamed up with a billion dollar investmetn firm to assist in the recruitment of a Compliance Director.

　　To apply for this opportunity, please message Chris Willhite, CPA on LinkedIn and you can email Chris directly at Chris dot Willhite at Robert Half.

　　The Compliance Director will be in a senior leadership role reporting to the Chief Financial Officer This individual should exhibit strong leadership skills and set a tone of compliance, integrity, and transparency as a priority with all actions. The Compliance Director will have primary responsibility for enhancing and developing compliance policies and procedures and will advise the firm and all staff accordingly. Executing, with the support of other leaders, the firm's commitment to excellence in ethics and compliance while managing all facets of the compliance program.

　　Some key day to day responsibilities for the role include:

　　Responsible for creating the company’s initial compliance department

　　Continually review, enhance and structure COMPANY’s compliance program to ensure compliance with applicable regulatory requirements and adaptation of COMPANY’s business, both current and future

　　Effectively identify, communicate, escalate and resolve compliance matters as appropriate

　　Prepare quarterly and annual compliance reports for the board

　　Monitor for and analyze proposed and current regulatory requirements and interpretations that impact or may impact COMPANY

　　Oversee third-party compliance service provider’s tests of COMPANY’s compliance policies and procedures

　　Oversee third-party IT provider to adhere to COMPANY’s Cybersecurity policies and identify gaps and implement corrective action, as necessary

　　Maintain oversight of portfolio trading and investment activity against investment guidelines, restrictions, disclosures, and regulatory requirements

　　Provide training on regulatory and compliance related matters and requirements

　　Review and maintain documentation of SOC 1 reports on an annual basis

　　Preparation of Regulatory Filings

　　Research, plan and prepare company’s initial RIA compliance manual once it has been formally launched

　　Lead and or support third-party audits

　　Manage SEC and branch examinations, and lead responses to any regulatory inquiries or requests

　　Requirements:

　　8-10+ years of general compliance experience including:

　　Experience overseeing SEC and other regulatory exams, as well as working with broker dealer examiners

　　Compliance auditing experience

　　Experience in managing, testing, monitoring and oversight of compliance policies

　　Experience working directly with the SEC regarding branch examinations a plus

　　Experience working for an RIA a plus

　　Salary and Benefits:

　　Competitive salary and compensation (based on experience)

　　Medical Insurance

　　Dental Program

　　Life and Personal Accident Insurance

　　Short term Disability Insurance

　　Long-term Disability Insurance

　　401(k) Plan with company match

　　4 weeks PTO and paid holidays

　　Requirements CPA

　　Robert Half is the world’s first and largest specialized talent solutions firm that connects highly qualified job seekers to opportunities at great companies. We offer contract, temporary and permanent placement solutions for finance and accounting, technology, marketing and creative, legal, and administrative and customer support roles.

　　Robert Half works to put you in the best position to succeed. We provide access to top jobs, competitive compensation and benefits, and free online training. Stay on top of every opportunity - whenever you choose - even on the go. Download the Robert Half app (https://www.roberthalf.com/us/en/mobile-app) and get 1-tap apply, notifications of AI-matched jobs, and much more.

　　All applicants applying for U.S. job openings must be legally authorized to work in the United States. Benefits are available to contract/temporary professionals, including medical, vision, dental, and life and disability insurance. Hired contract/temporary professionals are also eligible to enroll in our company 401(k) plan. Visit roberthalf.gobenefits.net for more information.

　　© 2024 Robert Half. An Equal Opportunity Employer. M/F/Disability/Veterans. By clicking “Apply Now,” you’re agreeing to Robert Half’s Terms of Use (https:///www.roberthalf.com/us/en/terms) .