Chief Compliance Officer

Dinsmore Compliance Services; Cincinnati (OH); On-site; USD 150,000 - 230,000; Full time

Job summary

Dinsmore Compliance Services, LLC seeks a Chief Compliance Officer at our Cincinnati, OH location to lead client engagements and form deep relationships as a key member of the client's team. The CCO provides oversight and strategic direction for investment adviser, municipal adviser, and broker-dealer clients.

Responsibilities include maintaining Rule 206(4)-7 compliance programs, coordinating annual reviews and audits, and ensuring regulatory reporting meets requirements.

Qualifications

• Bachelor's degree required; four-year college or university
• 5–7+ years in financial industry compliance and/or operations, preferably in manager/officer roles
• Experience with SEC, FINRA, DOL/ERISA, CFTC regulatory environment

Responsibilities

• Oversee and implement a full-scale compliance program and policies
• Lead client engagements and develop deep client relationships as a CCO
• Ensure regulatory reporting aligns with requirements and client policies
• Provide strategic direction for compliance in client operations and goals
• Manage regulatory inquiries and act as liaison with regulators
• Coordinate annual compliance reviews, training, filings, and audits
• Supervise testing of policies and procedures and monitor for conflicts of interest

Skills

Regulatory compliance

Leadership

Communication skills

Attention to detail

Risk management

Teamwork

Education

Bachelor's degree

Job description

Dinsmore Compliance Services, LLC is seeking a Chief Compliance Officer (CCO) at our Cincinnati, OH location to work directly with our financial services clients. This position will lead the engagement with assigned clients while forming deep relationships—with the CCO effectively becoming a key member of the client's team.

The Chief Compliance Officer provides primary oversight and insights to our investment adviser, municipal adviser, and/or broker-dealer clients.

Responsibilities

• Administer and maintain Rule 206(4)-7 compliance policies and procedures and execution of a continuous compliance calendar pursuant to the Rule and DCS’s overall compliance program Facilitate and enforce all facets of the compliance program to protect the client from legal and regulatory risk
• Ensure that all compliance reporting complies with regulatory requirements and client policies
• Provide strategic direction for compliance in support of client business operations, initiatives, and goals
• Review and maintain client firm compliance policies and written procedures in response to changing regulations and financial industry trends
• Manage and respond to all regulatory inquiries, also act as client liaison with regulators
• Participate in and manage for the client:
• Annual compliance reviews & training
• Regulatory filings and form updates
• Regulatory audits/exams
• Internal audits and branch office inspections
• Compliance committees
• Support the review of advertising material, sales literature and correspondence
• Consult with client sales, marketing, operations and other departments on compliance matters, supervision and risk management
• Communicate regulatory changes and trends with the client’s management team and their employees, representatives, etc.
• Perform and/or oversee periodic testing of written policies and procedures to determine ongoing compliance
• Perform trading and best execution reviews; monitor/review personnel trading for conflicts of interest
• Provide leadership and supervisory oversight in the areas of compliance and risk management according to the client’s business model and operations, as well as the regulatory environment to which they are subject

Requirements

• Ability to oversee and carry out the implementation and on-going execution and enhancement of a full-scale compliance program
• Ability to work independently in a high demand/high productivity environment
• Work efficiently with high attention to detail and the ability to multi-task
• Carry a high level of team orientation; possess strong interpersonal communication skills and a passion to help team members and clients
• Demonstrate integrity—maintain client trust, confidentiality and code of ethics
• Strong verbal and written communication skills
• Dependable, accountable, adaptable, and flexible
• Ability to enthusiastically support and promote the goals of our firm and its clients
• Bachelor's degree (B.A.) or equivalent from four-year College or University
• 5-7 years or more experience in financial industry compliance and/or operations; preferably in a manager, officer or director role
• Experience with the current and proposed financial regulatory environment (SEC, FINRA, DOL/ERISA, CFTC)
• Knowledge of Securities Act of '33, Investment Advisers Act of '40, Investment Company Act of '40 and related federal and state regulations
• Experience with financial industry regulatory requirements, forms & systems required; Regulatory audit/exam experience preferred
• Specific knowledge of rules and exemptions governing hedge funds, private equity funds, '40 Act Funds and commodity pools helpful
• Familiarity with GIPS and other industry standards are a plus