CHIEF COMPLIANCE OFFICER

Fanning Personnel - Boston, MA

Full-time - Senior

Boston, MA

About the position

The Chief Compliance Officer (CCO) will lead the Compliance department of a dynamic SEC registered investment adviser managing approximately $7 billion in regulatory assets. This role is crucial for overseeing regulatory interactions, audit functions, and ensuring compliance with all regulatory requirements and firm policies. The CCO will also be responsible for developing and maintaining compliance programs and providing executive leadership in compliance, risk management, and operational controls as the firm scales its business.

Responsibilities

• Develop and implement an overall strategic vision for the compliance functional areas of the firm.
• Manage, monitor, and enforce all compliance requirements and best practices.
• Act as the firm's appointed SEC and FINRA regulatory liaison, managing regulatory audits and exams.
• Oversee and manage the firm's Privacy Policy and Terms of Service.
• Execute a consistent approach to compliance reviews, issues, and concerns.
• Manage the compliance review of all marketing materials produced by the firm.
• Proactively collaborate with other departments to address compliance issues.
• Consult with Sales, Marketing, Operations, and other departments on compliance matters.
• Provide guidance, training, and education to employees on regulatory requirements.
• Oversee compliance training programs for staff.
• Provide general corporate compliance guidance to the firm.

Requirements

• 5+ years in SEC compliance experience at a RIA or law firm, J.D. preferred.
• Deep knowledge of Investment Company Act of '40 and various federal and state regulations.
• Experience with the current and proposed regulatory environment (SEC, FINRA, and ERISA).
• Broad knowledge of federal securities laws and regulations.
• Familiar with rules governing compliance with GIPS reporting standards.
• Management abilities to oversee enhancement and implementation of operational processes.