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6

Fund Chief Compliance Officer

6njdnwj9glcb3dl46n5ovoc0nx0zj10101461byxg9ej2oh4odl1tz6jmfsr1m4v · 30+ days ago

Boston, MA, US

$140k+
Estimation

Full-time

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Greetings,

My name is Dan Landerfin (dan@bbsg.biz, 617.262.1313) and I am COO at the Back Bay Staffing Group. We need a Chief Compliance Officer. The skill set below are relevant to several of my current openings. Please see qualifications described here and reach out to us immediately.

Independent Chief Compliance Officer for mutual fund clients, appoint pursuant to Rule 38a-1 under the Investment Company Act of 1940, as amended. Evaluate the design and operation of the policies and procedures maintained by the fund, its investment adviser, sub-adviser, fund administration agent, fund accountant, transfer agent, distributor and custodian.
Present comprehensive reports to Board of Trustees/Directors during quarterly in-person meetings, and met with independent Trustees/Directors in Executive Session. Conduct review and testing of all aspects of compliance programs, describe exceptions, and note recommendations where appropriate. Clients include exchange trade, closed-end, and open-end funds.
Serve as a Chief Compliance Officer and Anti-Money Laundering Compliance Officer for firm broker-dealers.
Administrate all internal broker-dealer policies and procedures design to ensure compliance with the regulatory framework imposed by the SEC, the Financial Industry Regulatory Authority ( "Client ) and other federal and state securities laws and regulations.
Manage broker-dealer regulatory examinations, as applicable, and draft written response to regulators. Conduct firm-wide AML training on potential AML issues.
Responsible for firm AML policies and procedures, and coordination of all reports of suspicious activity, respond to Section 314(a) requests, and coordination of the regular review of the program by firm external, third party auditors.

•

Last updated on Apr 10, 2014

About the company

6

6njdnwj9glcb3dl46n5ovoc0nx0zj10101461byxg9ej2oh4odl1tz6jmfsr1m4v

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