Chief Compliance Officer
Key Bridge Compliance is seeking a Chief Compliance Officer (CCO) to join a growing team of highly motivated and driven compliance professionals. Key Bridge provides outsourced CCO and compliance services to Registered Investment Advisers. The CCO is responsible for the implementation, administration 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 from a team of compliance consultants and compliance managers, will conduct risk-assessments and external audits, as well as Portfolio Testing, Email Review, and Advertising and Social Media Reviews, etc. The CCO will also lead regulatory exam teams while interacting directly with the U.S. Securities Exchange Commission. The CCO will also provide guidance to executive and senior level management teams of our clients. Thus, the ability to work independently and, as part of a team, and lead multiple projects and clients simultaneously is critical.
The position will be remote during the COVID-19 pandemic. However, when we do return to the office, the position will be located in our Washington, D.C. offices or in our Cincinnati, OH office.
REQUIRED SKILLS & EXPERIENCE
The successful candidate has:
- 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 and problem solving skills, coupled with your attention to detail and situational nuances
- Ability to handle multiple and competing projects and deadlines simultaneously
- Strong Relationship management and Customer Service skills.
- Familiarity with Regulatory Filings.
- Regulatory Examination experience.
- Knowledge of basic Microsoft Office applications (Excel, Word, Access etc.)
ABOUT KEY BRIDGE
Key Bridge Compliance 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.
Compensation and benefits:
- $100,000 to $125,000 base salary
- Discretionary bonus, dependent on employee and Firm success
- Medical, dental, and vision insurance; dependents eligible
- 401(k) retirement plan with company match
Job Type: Full-time
To apply, please complete an application here.