Corporate Compliance Officer
One Tower Bridge, 100 Front St #1111, Philadelphia, PA 19405
Corporate Compliance Officer
Our client in the Financial Services industry is seeking an experienced and motivated compliance professional in the Philadelphia area. This key role on the management team will be involved in all aspects of this growing business. The company is well positioned for success and expanding.
Responsibilities of the Corporate Compliance Officer:
- Ensure and supporting the review of the appropriateness of the compliance system and procedures and implement necessary remediation for any identified deficiencies.
- Provide end-to-end compliance oversight including developing and maintaining effective controls designed to monitor the effectiveness of the compliance program.
- Maintain in-depth knowledge of the business in order to ensure adequate compliance oversight and resources as the business needs evolve over time; advise the business on emerging compliance issues.
- Develop solutions and lead any required remediation of compliance gaps to completion.
- Maintain and update the corporate compliance manual and perform surveillance, monitoring and annual testing to ensure effectiveness of the compliance program.
- Preparing for and responding to regulatory inquiries and examinations as well as internal audit and other reviews. Oversight of and review of marketing materials.
- Participating in investor due diligence meetings and operational due diligence that support the business’ s goals including reviews and approvals of the investment advisory.
- Providing advice and regulatory guidance in connection with the development of new products.
- Monitor Compliance Ethics pertaining to Company employee conduct matters and ensuring the timely resolution of such matters.
- Providing compliance specific trainings to employees.
- Execute regulatory filings, advisor public disclosures and relevant internal and client certifications.
- Staying abreast of ongoing regulatory developments and/or material regulatory changes in applicable law and regulations.
Requirements of the Corporate Compliance Officer:
- Bachelor’ s degree in Finance, Accounting, or Business-related discipline.
- 5+ years of related compliance experience with strong knowledge of the Investment Adviser’ s Act.
- Managerial experience in managing a compliance program, including maintaining policies and procedures; overseeing compliance and operational risk processes; implementing compliance training programs; and monitoring and remediating potential violations of policy or law.
- Familiarity with the knowledge of the securities industry, from a product, corporate governance, compliance and administrative perspective including knowledge of Federal Securities regulations.
- Experience with conducting risks assessments and leading testing of compliance programs.