FINTECH Investments - Chief Compliance Officer &

Company JobLeads
Reference 495204827
Sector Other
Town/City California
Locations California , USA
Job Type Permanent
Date Posted 12th Aug


Job Description

The Chief Compliance Officer will develop a comprehensive regulatory compliance framework and implement and maintain processes, systems, and controls that ensure the firm's compliance with multi-industry regulations as it grows. The CCO will be the company's main SME and advisor on compliance for investment products and financial operations. Serve as the point person for internal and external audits, regulatory examinations, legal contracts, and all Third Party Vendor compliance., * Policies and Procedures: Formulate, implement and update broker-dealer and investment adviser compliance programs and initiatives * Education, Training, and Promoting a Culture of Compliance: Develop, enhance, and deliver compliance-related training to all employees, including training specific to rules, regulations, standards, and resources, including required Annual Compliance Meeting, FINRA Firm Element, and continuing education * Manage the onboarding process of new employees, provide ongoing support of regulatory-required disclosure of personal securities accounts and transactions, outside business activities, political contributions, and others * Maintain the Legal & Compliance Regulatory Calendar and coordinate, update and file broker-dealer and investment adviser registrations, disclosures and reports (such as Form ADV, Form BD, Forms U4 and U5, Form 13F), and other related requirements * Assist with third party vendor risk reviews, mitigation, and due diligence * Audit and Regulatory Examinations: Provide general support to Operations, Finance, and all other departments in preparing for and executing responses to routine audits and examinations * Compliance Advisory: Provide business partners with actionable guidance and advice to effect compliance with regulatory and standards in support of developing products, services, features, and strategic initiatives, with a strong focus on client service and operations * Execute appropriate practices for monitoring fund and adviser service providers including initial due diligence and sub-adviser oversight * Act as knowledge source on issues related to product and account structuring, and work with product and service providers as needed to develop or streamline account and product structures * Manage operational and regulatory setup of new products and product integration with online platform * Manage the 206(4)-7 annual review process * Assist with the 38(a)-1 annual review process * Actively work with business partners to help identify areas of potential risk or non-compliance * Be responsible for all legal matters including impacts on parent company, registered investment adviser, broker dealer, funds trust, and banking business and entities * Review contracts, including solicitor agreements, non-disclosure agreements, contractor agreements, CPA and CPL arrangements, insertion orders, and others * Manage IP portfolio and ensure all property is progressing through the USPTO process A highly-rated socially conscious FINTECH Investments firm is seeking an experienced Chief Compliance Officer with a strong understanding of the regulatory landscape for broker-dealers and registered investment advisers., The candidate's ability to function well in a Financial Technology Startup firm will be the deciding factor in hire. The candidate highly-motivated, personable, versatile, and eager to expand their knowledge of the ever changing regulatory landscape., * A. in Accounting, Finance, Economics or related field * JD or LLM Law Degree with New York or California Bar Admission. * 5+ years of experience in compliance and operations at an Investment Advisor, Broker/Dealer or related firm * Experienced in Mutual fund formation, and registration and reporting * Fund and adviser compliance and operations * Mastery of Investment products and structuring them. * Active FINRA Series 7, 24 and 66 a must! Additonal: * Banking regulatory/compliance experience * Familiarity with NACHA (Electronic Payments) rules/regulations * Securities/Banking law experience Please contact James Defranco at or email resumes to

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