Seeking a chief compliance officer to work in our Cincinnati office for Calfee Strategic Solutions (CSS), a wholly owned subsidiary of Calfee, Halter & Griswold LLP. CSS is not a law firm and does not provide legal services. It supports advisers in the development and administration of their compliance programs.
The chief compliance officer will be a part of our growing compliance team and will be responsible for developing, maintaining, and monitoring regulatory compliance standards for the registered investment adviser and broker-dealer clients of CSS in the overall management of the client’s compliance program, the application of compliance policies and procedures, and the development of the firm’s governance and risk management practices. This includes developing an overall strategic vision for the compliance functional areas of CSS broker-dealer and adviser clients, maintaining regulatory risk and governance oversight by analyzing and establishing internal controls for the client’s primary lines of business, communicating with senior management and departmental management, supervising employee conduct and firm operations, and coordinating the review of relevant policies and procedures of the client based on new regulatory guidance and industry best practices.
- Serving as an outsourced chief compliance officer for multiple CSS clients, where applicable.
- Serving as the primary relationship lead for multiple client relationships and leading and directing relevant client communications.
- Mentoring and training other Calfee and CSS team members providing investment management and compliance consulting services.
- Consulting on the effective integration and implementation of federal securities laws and related compliance rules, including the development of policies and procedures in accordance with the firm’s business operations and any compliance certifications associated with its Code of Ethics or other related requirements.
- Developing and enhancing technical areas of expertise in relevant legal, regulatory, and compliance subject matter areas for Calfee and CSS.
- Completion of any regulatory filings before the U.S. Securities and Exchange Commission, FINRA, and state securities commissions, attorneys general, and local authorities (i.e. Form ADV, Form PF, etc.).
- In collaboration with the client, drafting and coordinating employee training and education materials associated with adherence to federal securities laws, including the annual compliance training and any ad hoc training sessions.
- Leading CSS clients in the completion of the annual review and risk assessment of the firm’s compliance program to ensure the adequacy and effectiveness of firm policies and procedures designed to prevent violation of federal securities laws.
- Reviewing and editing marketing and advertising materials connected to the provision of the advisory services provided by the client.
- Working with the client to establish, coordinate, and enhance the firm’s third-party due diligence program of key service providers.
- Developing and managing the clients’ testing programs, including leading any related internal audits to ensure effective integration of the Compliance Rule into the firm’s compliance program.
- Serving as the appointed SEC, FINRA, CFTC, state securities commissions, attorneys general, and local authorities regulatory liaison, managing regulatory audits and exams and assisting with the firm’s response to any external audits, examinations, or other matters, or other third-parties seeking a review of the firm’s compliance program.
- Assisting the client in monitoring the firm’s data privacy and cybersecurity programs, including adherence to Regulation S-P, Regulation S-ID, the federal fiduciary standard, state data privacy and cybersecurity laws (i.e. CCPA; NYDFS), and any other related regulations that affect the firm’s advisory business.
- Leading business development efforts with client prospects and engaging in significant client development and related activities.
- Bachelor's degree in a related field.
- 5+ years of relevant compliance related experience.
- Extensive knowledge of SEC and FINRA regulations.
- Prior compliance experience with registered investment advisers and broker-dealer clients.
- General working knowledge of federal and state data privacy and cybersecurity laws.
- Ability to develop and implement effective regulatory compliance strategies.
- Excellent skills in understanding complex business processes and providing clear, concise guidance.
- Superior client service skills with a demonstrated ability to develop and maintain outstanding client relationships.
- Exceptional written and verbal communication and interpersonal skills.
- Excellent analytical and problem-solving skills.
- Strong attention to detail, organization and project management skills.
- Ability to work collaboratively, meet deadlines and communicate effectively with various levels of management.
- Ability to maintain a high level of confidentiality and professionalism.
- Proficiency using the Microsoft Office Suite.
Interested candidates should submit a cover letter and resume to Catherine Davis, Professional Recruiting Coordinator, at email@example.com.