Job Overview:
We are seeking a highly skilled and experienced part-time Chief Compliance Officer to join our team. As the Chief Compliance Officer, you will be responsible for ensuring that our organization operates in compliance with all relevant laws, regulations, and internal policies. You will oversee and implement our compliance program, monitor regulatory changes, and provide guidance to executives and management on compliance matters. If you have a passion for compliance and a desire to ensure ethical business practices, we would love to hear from you. Apply today to join our dynamic team as our Chief Compliance Officer.
Responsibilities:
- Develop and implement an effective compliance program to ensure adherence to applicable laws, regulations, and internal policies
- Complete filings and renewal requirements for the firm
- Conduct regular audits and reviews to identify potential compliance issues, including client communication monitoring, media monitoring, and usage of disclosures
-Complete monthly, quarterly, and annual internal reporting to ensure compliance with regulatory reporting requirements
- Collaborate with internal departments to ensure compliance with regulatory reporting requirements
- Monitor regulatory changes and assess their impact on the organization's operations, staying up to date with industry best practices and trends in compliance management
- Provide guidance and training to employees on compliance-related matters
- Oversee fraud prevention and detection efforts within the organization
- Serve as the primary point of contact for regulatory agencies during audits and examinations
Skills:
- Previous experience in compliance, including experience with SEC regulatory audits
- Experience with regulatory reporting requirements
- Proficient in fraud prevention and detection techniques
- Financial acumen with a solid understanding of risk management principles
- Excellent communication skills, both verbal and written
- Strong analytical and problem-solving abilities
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