Chief Compliance Officer - Alternative Investments


Company:: The Compliance Search Group, LLC
Location:: Hopkins, MN
Job Type:: Full Time


Yrs of Exp:: 7+ to 10 years
Posted:: 2/12/2013

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Job Description

Principal Accountabilities

• Ensure that each regulated jurisdiction in which has a compliance program in place to meet local regulators' requirements; such program is adequately staffed through the proper balance of internal and external resources.
• Oversee global compliance training program for all employees.
• Identify changes to US and applicable global securities rules, regulations and legislation contained in regulatory notices and implement changes to policy and procedures as well as communicate technical issues and changes to the appropriate people within the organization.
• Serve as a liaison with regulators and other industry players in gathering practical and technical knowledge about various compliance topics.
• Oversee tools & testing to monitor compliance with policies.
• Conduct investigations, projects and other assignments as delegated by leaders.
• For regulated and non-regulated jurisdictions in which the fund operates, provide a global set of guidelines and rules for ethical business conduct, and assure employees are trained on such materials.
• Participate in and contribute to the decision making process on selected commercial projects as the need and opportunity arises.
• Work closely with the general counsel to set priorities and manage costs of legal affairs.
• Develop asset management industry contacts and relationships that support a leadership role in the industry.
• Maintain involvement with internal audit issues, fund financial statements and other financial management issues as necessary.

Qualifications
• Undergraduate degree in accounting, business or related field
• 7+ years of compliance or operations leadership experience in the investment management industry
• Demonstrated experience in taking a proactive role in all stages of compliance processes
• Proven leadership skills
• Strong communication, influencing and conflict management skills
• Creative and effective problem solving skills

Desired
• JD from a first tier law school
• Licensed Attorney with a minimum of four years of legal experience in corporate and/or securities law
• CPA/CFA
• Individual experience in an investment management or hedge fund company
• Audit or compliance consulting experience in the investment management industry

To apply please submit your resume to Jack Kelly - Jkelly@ComplianceSearch.com

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