Position : CCO Broker-Dealer & Hedge Fund
Firm : Yorkville Advisors Hedge Fund
Reports to : COO / CFO
Location : Mountainside, NJ
Position Summary
Highly successful, 20+ year old boutique hedge fund is seeking a CCO who has ideally served as a CCO for both a Broker-Dealer and Hedge Fund.
Yorkville is currently registered as an RIA with the SEC and is in the process of setting up a Broker-Dealer which will be registered with FINRA.
The CCO will be responsible for implementing a robust compliance program related to all B-D requirements. The individual will also assume the CCO role for the hedge fund from the current COO / CFO / CCO.
The firm has a complete RIA compliance program in place. This position requires a candidate with a comprehensive understanding of broker-dealer and hedge fund compliance and reporting requirements.
The Chief Compliance Officer (CCO) will assume primary responsibility for assuring the Broker-Dealer and Hedge Funds’ compliance with FINRA, SEC and Federal and State rules / regulations as well as all other Federal statutes and trends.
The CCO will work in conjunction with the Firm’s existing team, outside counsel and outsourced compliance consultants.
Responsibilities
- Help design and implement the Broker-Dealer compliance program, educate and train the firms associated persons, and work in tandem with executive management, outside counsel and compliance consultants to foster a culture of compliance
- Update the current RIA Compliance program to conform with the soon to be effective rule changes
- Develop and maintain all relevant Policies and Procedures based upon regulatory requirements, industry best practices and established internal controls.
Supervise the Firm’s compliance with regulatory requirements on cybersecurity, social media and communications with public
Follow the compliance calendar to ensure attestations and associated persons’ Broker-Dealer Licensing requirements are completed on time.
Supervise and manage regulatory audits requested by FINRA or SEC
- Complete periodic mock FINRA / SEC exams
- Perform monthly, quarterly and annual compliance reviews and filings
- Provide advice and training to firm's management and employees regarding applicable securities rules, regulations and firm policies
- Work closely with outside compliance consultants and outside counsel
Qualifications
- Bachelor's Degree or Higher Required, J.D. a plus
- Current Series 7, 24 & 63 qualifications required (clean U-4). Series 27 a plus.
- Minimum of 10+ years' experience in securities compliance
- Strong attention to detail and organizational skills are vital for this position
- Fluent with all current FINRA & SEC regulations
- 3 or 4 days / week in the New Jersey office
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