Deputy Chief Compliance Officer

VirtualVocations; Nashville (TN); On-site; USD 100,000 - 140,000; Full time

Job summary

A leading company is seeking a Deputy Chief Compliance Officer to develop and administer its Compliance Program. The role involves managing compliance projects, supervising team members, and ensuring adherence to federal securities laws. Ideal candidates will have significant regulatory compliance experience and a strong educational background.

Qualifications

• Minimum of 10 years of regulatory compliance experience in the securities industry.
• Minimum of 3 years of supervisory experience.

Responsibilities

• Assist in the development and maintenance of the firm's compliance program.
• Manage compliance projects and oversee internal investigations.

Skills

Regulatory Compliance

Supervisory Skills

Understanding of Federal Securities Laws

Education

Bachelor's Degree

Job description

A company is looking for a Deputy Chief Compliance Officer, responsible for developing and administering the firm's Compliance Program.

Key Responsibilities

1. Assist in the development and maintenance of the firm's compliance program
2. Manage compliance projects and oversee internal investigations into compliance violations
3. Supervise Compliance Team members and provide coaching and mentoring as needed

Required Qualifications, Training, and Education

• Bachelor's Degree from an accredited institution required
• Current admission in good standing to the State Bar of at least one U.S. state required
• Minimum of 10 years of regulatory compliance experience in the securities industry required
• Minimum of 3 years of supervisory experience required
• Strong understanding of relevant federal securities laws and fiduciary governance principles