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Deputy CCO

  • Stamford, CT
  • Full Time

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Asset management company located in Stamford Connecticut looking to bring on board a “Deputy CCO” to join their team. They are currently in office (2 days a week).

• Assist the Chief Compliance Officer with the development, implementation, strategy, and oversight of the organization’s compliance program.
• Play a pivotal role in continuing to strengthen the Firm’s culture of compliance through effective communication of regulatory and compliance requirements and collaboration with key stakeholders in support of the Firm’s goals.
• Serve as a Firmwide resource for colleagues seeking clarification on compliance matters.
• Analyze and provide guidance on complex compliance actual and emerging risk scenarios within business units and/or functions.
• Assess compliance issues raised by new business prospects, including new funds, vehicles, products, and business lines.
• Identify regulatory and compliance requirements and recommend best practices to business stakeholders in a proactive and collaborative manner on issues of import to the Firm.
• Continuously monitor the regulatory environment for proposed rules, guidance, and industry trends that may affect the Firm’s compliance and business models.
• Implement new policies and procedures to ensure compliance with SEC, FINRA and NFA rules and regulations.
• Drive the compliance supervisory program including testing the Firm’s compliance program and development of the Firm’s controls process.
• Lead and mentor junior staff.
• Complete vendor due diligence program including conducting due diligence meetings