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Job Details

Investment Management Compliance Director/ VP

Company name
Compliance Search Group.

San Francisco, CA

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Organizational Objective\/Purpose:A well-respected bank and financial services firm seeks an experienced Compliance professional for their Investment Management division.Brief Description of Role:The general purpose of this position is for the Compliance professional to participate in the administration, development and execution of the company’s reinvestment management Compliance Program.He\/she will be involved with an array of matters. This role will focus on policies and procedures of the RIA, and risk assessments across the investment management’s business areas. The Compliance professional will advise business clients on regulations and related compliance policies. He\/she will maintain and develop compliance policies and procedures in an effort to establish industry best practices. The person in this role will also be expected to interact with key business people in Management, Legal, Trading, and Operations. The ideal candidate will have previous compliance experience in a high-touch\/high-client-experience-expectation organization within a registered investment advisor. The Senior Compliance Officer will directly report to the Chief Compliance Officer of this division.Specific Responsibilities:Educate and train staff on firm policies and proceduresProactively identify and champion opportunities to improve compliance efficiencies and minimize risksPerform risk assessments across the firm to identify gaps and strengthen controlsPerform general compliance projects and tasksGather and manage data for enterprise reporting purposes.

Company info

Compliance Search Group.
Website :

Company Profile
Welcome to THE COMPLIANCE SEARCH GROUP, the leading and most trusted executive search firm in the nation specializing in the recruitment of Compliance, Legal, Regulatory, Risk Management, Dodd-Frank, Audit, Corp. Governance, Credit, Accounting, Tax and Finance.

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