VP Compliance Chief Compliance Officer - Lincolnwood Illinois

Company: VirtualVocations
Location: Lincolnwood, Illinois
Posted On: 11/10/2024

A company is looking for a VP Compliance & Chief Compliance Officer.



Key Responsibilities

Oversee the development and maintenance of compliance programs for investment entities
Lead and mentor a team of compliance professionals while ensuring regulatory compliance
Monitor regulatory developments and implement necessary adjustments to compliance strategies


Required Qualifications

Bachelor's degree required; legal degree preferred
10+ years of compliance experience under the Investment Company Act and Investment Advisers Act
Significant asset management compliance experience with knowledge of industry best practices
FINRA 6 and 26 registrations preferred
No history of regulatory findings or sanctions More...

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