VP Compliance Chief Compliance Officer
Company: VirtualVocations
Location: Lincolnwood
Posted on: November 9, 2024
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Job Description:
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
Keywords: VirtualVocations, Milwaukee , VP Compliance Chief Compliance Officer, Executive , Lincolnwood, Wisconsin
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