Chief Compliance Officer

Full time

Job Description

Key Bridge Compliance, LLC (Key Bridge) is seeking a Chief Compliance Officer (CCO) to join a growing team of driven, highly motivated compliance professionals. Key Bridge provides outsourced CCO and compliance services to Registered Investment Advisers. The CCO will be responsible for the implementation and ongoing oversight of the compliance program required by Rule 206(4)-7 of the Investment Advisers Act of 1940. The CCO, with ample professional support, will conduct risk-assessments and external audits, as well as Portfolio Testing, Email and Correspondence Surveillance, and Advertising and Social Media Reviews, etc. The CCO will also interface directly with the U.S. Securities Exchange Commission. Thus, the ability to work independently and handle multiple projects and clients simultaneously is essential.

The position will be located in the Washington, D.C. office or our Cincinnati, OH office.

REQUIRED SKILLS & EXPERIENCE

The successful candidate must have:

Bachelor’s Degree or equivalent

8-10 years experience in Financial Services, specifically working with Registered Investment Advisers or Broker-Dealers

Served as a CCO or in a compliance function for a Registered Investment Adviser (RIA)

Familiarity with the Investment Advisers Act of 1940

Strong organizational skills, attention to detail, and the ability to problem solve

Ability to handle multiple projects simultaneously

Strong Customer Service skills

Familiarity with Regulatory Filings

Regulatory Examination experience

ABOUT KEY BRIDGE

Key Bridge Compliance, LLC has a singular focus to service and address the regulatory compliance needs of the RIA community by offering a suite of outsourced compliance solutions tailored to meet each client’s unique requirements. Key Bridge was started in response to the growing demand for outsourced compliance services in the RIA community.

Job Type: Full-time

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