TBG | The Bachrach Group
Overview
TBG | The Bachrach Group provided pay range
This range is provided by TBG | The Bachrach Group. Your actual pay will be based on your skills and experience talk with your recruiter to learn more.
Base pay range
225,000.00 / yr - $275,000.00 / yr
Additional compensation types
Annual Bonus
Our client is a top tier global asset management firm seeking to add a dynamic Chief Compliance Officer to manage their first in class Compliance program overseeing their registered investment adviser, private equity, private credit and commodity pool operator. The role will manage a small team of Compliance professionals and support the broker dealer with compliance initiatives.
Key responsibilities
Manage all policies and procedures based upon regulatory requirements and internal controls.
Manage regulatory examinations and inquiries
Conduct internal testing, surveillance and supervision
Ensure all regulatory filings are submitted and maintained
Provide oversight of branches and business units
Review and approve marketing materials
Monitor employee compliance and develop and lead Compliance training programs
Experience
10+ years of asset management and broker dealer compliance experience at a registered investment adviser and broker dealer.
BA required, JD or MBA preferred
FINRA Series 7 & 24 required
Strong knowledge of asset management and broker dealer compliance issues. Particular knowledge of FINRA, SEC CFTC, & NFA regulatory rules.
Experience with retail broker dealer compliance issues is a plus.
AML experience / ACAMS certification is a plus.
Seniority level
Executive
Employment type
Full-time
Job function
Finance
Industries
Investment Management, Venture Capital and Private Equity Principals, and Investment Banking
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This range is provided by TBG | The Bachrach Group. Your actual pay will be based on your skills and experience talk with your recruiter to learn more.
Base pay range
225,000.00 / yr - $275,000.00 / yr
Additional compensation types
Annual Bonus
Our client is a top tier global asset management firm seeking to add a dynamic Chief Compliance Officer to manage their first in class Compliance program overseeing their registered investment adviser, private equity, private credit and commodity pool operator. The role will manage a small team of Compliance professionals and support the broker dealer with compliance initiatives.
Key responsibilities
Manage all policies and procedures based upon regulatory requirements and internal controls.
Manage regulatory examinations and inquiries
Conduct internal testing, surveillance and supervision
Ensure all regulatory filings are submitted and maintained
Provide oversight of branches and business units
Review and approve marketing materials
Monitor employee compliance and develop and lead Compliance training programs
Experience
10+ years of asset management and broker dealer compliance experience at a registered investment adviser and broker dealer.
BA required, JD or MBA preferred
FINRA Series 7 & 24 required
Strong knowledge of asset management and broker dealer compliance issues. Particular knowledge of FINRA, SEC CFTC, & NFA regulatory rules.
Experience with retail broker dealer compliance issues is a plus.
AML experience / ACAMS certification is a plus.
Seniority level
Executive
Employment type
Full-time
Job function
Finance
Industries
Investment Management, Venture Capital and Private Equity Principals, and Investment Banking
#J-18808-Ljbffr