Chief Compliance Officer or Senior Counsel

Job Description:

The Chief Compliance Officer is responsible for developing, maintaining, and monitoring regulatory compliance standards for the registered investment adviser and broker-dealer clients of Calfee in the overall management of the clientu2019s compliance program. The role includes developing an overall strategic vision for the compliance functional areas of Calfee broker-dealer and adviser clients, maintaining regulatory risk and governance oversight by analyzing and establishing internal controls for the clientu2019s primary lines of business.

Key Responsibilities:

* Developing and implementing compliance policies and procedures

* Analyzing and interpreting new regulatory guidance and industry best practices

* Supervising employee conduct and firm operations

* Coordinating the review of relevant policies and procedures

Candidate Requirements:

* 8+ years of relevant compliance related experience

* Extensive knowledge of SEC and FINRA regulations

* Prior compliance experience with registered investment advisors and broker-dealer clients

Apply Now