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VP Compliance Chief Compliance Officer

Company: VirtualVocations
Location: Lincolnwood
Posted on: November 9, 2024

Job Description:

A company is looking for a VP Compliance & Chief Compliance Officer.



Key Responsibilities

Oversee the development and maintenance of compliance programs for investment entities
Lead and mentor a team of compliance professionals while ensuring regulatory compliance
Monitor regulatory developments and implement necessary adjustments to compliance strategies


Required Qualifications

Bachelor's degree required; legal degree preferred
10+ years of compliance experience under the Investment Company Act and Investment Advisers Act
Significant asset management compliance experience with knowledge of industry best practices
FINRA 6 and 26 registrations preferred
No history of regulatory findings or sanctions

Keywords: VirtualVocations, Bartlett , VP Compliance Chief Compliance Officer, Executive , Lincolnwood, Illinois

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