CHIEF COMPLIANCE OFFICER
Location: Northern KY
Would you like the opportunity to join a growing team of driven, highly motivated compliance professionals? Apply now!
What you will be doing:
- Responsible for the implementation and ongoing oversight of the compliance program required by Rule 206(4)-7 of the Investment Advisers Act of 1940.
- Conduct risk-assessments and external audits, as well as Portfolio Testing, Email and Correspondence Surveillance, and Advertising and Social Media Reviews, etc.
- Interface directly with the U.S. Securities Exchange Commission.
- Work independently and handle multiple projects and clients simultaneously is essential.
What you will need:
- Bachelor’s Degree or equivalent
- 8-10 years experience in Financial Services
- Served as a CCO or in a compliance function for a Registered Investment Adviser (RIA)
- Familiarity with the Investment Advisers Act of 1940
- Strong organizational skills, attention to detail, and the ability to problem solve
- Ability to handle multiple projects simultaneously
- Familiarity with Regulatory Filings
** CALL AQUARIUS TODAY AND WE WOULD LOVE TO DISCUSS THE DETAILS- 513-247-0750**