Chief Compliance Officer to lead the design, management, and supervision of a global investment management and index provider compliance program.
ROLES & RESPONSIBILITIES
- Oversee, manage, and supervise global compliance program.
- Communicate and report on compliance matters to senior management and the Board of Directors.
- Lead compliance due diligence reviews with institutional index and investment management clients.
- Design and implement ongoing compliance testing and surveillance program and manage risk assessments.
- Lead and report the results of annual 206(4)-7 compliance review.
- Represent Compliance on the firm’s Index Committee and manage and lead compliance policy development for index operations.
- Support due diligence of critical vendors and controls associated with information security.
- Manage and lead compliance reviews of marketing content and all regulatory filings.
- Lead compliance trainings and serve as the internal subject matter expert on regulatory compliance.
- Collaborate with other members of Legal and Compliance to support firm-wide initiatives and to perform legal and regulatory research and analysis, as needed.
- Other ad-hoc duties (including contract reviews and supporting the firm’s legal agenda, more broadly).
SKILLS & QUALIFICATIONS
- JD required.
- 8–12 years’ investment management compliance experience, preferably in a leadership role.
- Regulatory exam experience required.
- Familiarity with data privacy, quantitative investing, and index regulation preferred.
- Strong technical skills; high proficiency in Outlook, Microsoft Word, Excel, PowerPoint, and Adobe Professional is required.
- Experience with ComplySci is ideal.
- Strong communication, organizational and interpersonal skills, as well as attention to detail.
- Demonstrate effectiveness at problem solving, being a team player, creating trust amongst colleagues, and the ability to self-motivate.
RA provides equal employment opportunities to all applicants and employees. The Company makes all employment decisions based on merit, qualifications and competence. Equal employment opportunity is the law, and discrimination is also inconsistent with RA’s core values. RA believes success is linked to having the most qualified and ethical team in its industry. As a result, the Company and its employees do not and will not discriminate against any employee or applicant based on race, color, religion, sex or gender (including gender identity and gender expression), sexual orientation, pregnancy, age, disability, national origin or ancestry, citizenship status, marital status, creed, medical condition, genetic characteristics or genetic information, military service or veteran status, or any other characteristics protected by federal, state, or local laws prohibiting discrimination.