Chief Compliance Officer
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