General Counsel/Chief Compliance Officer
Our client is a prominent investment management firm searching for a GC / CCO to manage, grow, and implement an SEC regulatory program and manage internal legal operations.
- Responsible for the ongoing development, implementation, and refinement of a comprehensive compliance program
- Legal experience / familiarity is a plus... things like Fund formation, fund structuring, side letter negotiations
- New SEC marketing rules, as well as, ADV’s PPM’s sub docs
- Demonstrated experience working with auditors and regulators on all compliance related matters; conduct compliance audits, risk assessments, and coordinate regulatory responses as needed
- Previous experience with SEC Examinations
- Ability to represent the compliance function to investors; speak in depth on regulatory matters in a commercially adept manner
- Provide advice and training to management and employees regarding applicable securities rules, regulations, and firm policies
- Strong familiarity with MNPI / Expert Network matters
- JD Required
- 10+ years of a combination of legal, compliance and / or regulatory experience working in a similar environment
Chief Compliance Officer/Counsel
MNPI exp, new marketing rules, fund formation, fund structuring.Comfortable working on a small team and with outside consultants.Office located in Orange County, California....
Chief Privacy Officer and Compliance Director (6060U), Ethics, Risk & Compliance Svcs #66177
As a key member of the Office of Ethics, Risk, and Compliance Services (OERCS) reporting to the Deputy Compliance Officer within the Chancellor's Office, the Compliance Director and Chief Privacy Officer ("Privacy Officer") is responsible for ensuring UC Berkeley's commitment to protecting the priva...
Global Deputy Chief Compliance Officer
A company is looking for a Global Deputy Chief Compliance Officer (Global Compliance Lead). ...
Chief Compliance Officer
Realta Wealth, a leading independent wealth management organization partnering with accomplished advisors is seeking an experienced and visionary individual to fill the role of Chief Compliance Officer. Maintain and oversee a robust compliance testing and monitoring program to detect and address pot...
Vice President, Chief Compliance Officer of Broker-Dealer and RIA
This is a critical role overseeing compliance for core parts of Forge’s business, reporting directly to the Head of Compliance. Maintain and enhance the company’s BD and RIA compliance program. Develop, implement, and maintain Forge’s broker-dealer and RIA compliance programs. Manage a staff of expe...
BDO Capital Advisors, President & Chief Compliance Officer
The President and Chief Compliance Officer, for BDO Capital Advisors, LLC will serve dual roles in leading the organization’s investment banking subsidiary and managing its operational and compliance functions. The President and Chief Compliance Officer will work on building, implementing, and overs...
Chief Privacy Officer and Compliance Director (6060U), Ethics, Risk & Compliance Svcs #66177
As a key member of the Office of Ethics, Risk, and Compliance Services (OERCS) reporting to the Deputy Compliance Officer within the Chancellor's Office, the Compliance Director and Chief Privacy Officer (“Privacy Officer”) is responsible for ensuring UC Berkeley's commitment to protecting the priva...
Chief Executive Officer/general Manager
The Chief Executive Officer/General Manager must have:. Maintain positive communications with lenders and ensure quarterly bond payments and compliance reporting are accurate and timely and that any loan covenants are complied with. At least three (3) years as a Casino General Manager, preferably in...
Chief Medical Officer
Mercy General is home to the nationally ranked. Mercy General Hospital is proud to foster inclusion and diversity as part of our mission vision and values. This individual shall assume a facilitative role to assist the President of the medical Staff, its officers, and department chairs in carrying o...
Associate General Counsel, Legal Compliance
Anduril’s Legal Team seeks an Associate General Counsel, Compliance with a focus on the full spectrum of cUAS, AI, and robotics regulatory issues. Represent the GC and other compliance attorneys within the company to expand the Compliance team’s ability to provide in-person guidance and support acro...