Deputy Chief Compliance Officer - Funds (m/f)


2018-07-25 05:02:31

Job location Des Moines, Iowa, United States

Job type: fulltime

Job industry: Executive Positions

Job description

The company operates within the financial industry.

  • Responsible for various aspects of the Funds' compliance program, including assisting the Fund CCO with maintaining written compliance policies and procedures for the Funds to ensure compliance with Rule 38a-1 under the Investment Company Act of 1940 ("40 Act").
  • Assist the Fund CCO with providing written and oral presentations to the Fund Board of Directors.
  • Provide support to Fund Compliance staff by serving as a technical resource, particularly with interpretation of federal securities laws and their potential application to the Funds' compliance program.
  • Represent the Funds within the industry, to internal boards/committees, internal auditors, and/or to regulators.
  • Lead, develop and motivate staff in an environment that embraces change, teamwork, timeliness, and results that are measured and recognized.
  • Bachelor degree or equivalent experience, and 10+ years relevant work experience in compliance, legal and/or regulatory experience with a mutual fund complex required.
  • Advanced degree or JD preferred.
  • Experience working with registered investment companies and registered investment advisers required.
  • Requires a technical understanding of compliance practices, rules and regulations, and the ability to drive the execution and delivery of compliance policies.
  • Deep knowledge of the financial services market and products, securities laws (1933, 1934, and 1940 Acts, blue sky laws) and regulations (SEC/FINRA/state/federal).
  • Must have thorough understanding of compliance related issues affecting mutual funds, ETFs, and the asset management industry.
  • Must be able to work on tasks independently and manage teams of both direct reports and resources in other functions to complete projects.
  • Must be able to build and maintain strong relationships and consult with individuals at all levels.
  • Strong abilities in the areas of problem solving, project management, decision making, communication (verbal and written), and leadership required.
  • Must be able to manage expectations, attend to details, handle multiple projects, and prioritize effectively with a focus on results.
  • Travel may be required up to 20% of the time.

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