Chief Compliance Officer - Operations Manager // Washington, DC

Hello,

I am with BCI and was curious if you or someone from your network might be interested in this opportunity:

Title: Chief Compliance Officer / Operations Manager (1006-1)
Location: Washington, DC
Compensation: Competitive salary commensurate with experience

Summary/Responsibilities:
Billion dollar investment advisory firm with separately managed accounts, private partnerships, and a mutual fund seeks an experienced compliance/operations professional to join their firm in a combined Chief Compliance Officer/Operations Manager role.
As CCO, manage all aspects of the compliance program including developing/monitoring/implementing and testing written policies/procedures, documentation of testing, keeping apprised of securities regulations and nuances of the business.
As Operations Manager, ensure back office runs smoothly including oversight of support staff, maintenance of insurance policies, HR functions, and acting as liaison for vendor relationships.

Requirements:
Bachelor’s degree required
Prior experience in compliance department for an investment advisor required
Working knowledge of the Investment Advisors Act of 1940
Must be driven and take initiative
Ability to use logic/reasoning to identify issues/solve problems
Detail-oriented with ability to multitask
Ability to prioritize and see projects through to completion
Strong communication skills, both written/oral
Ability to work effectively with other key decision-makers

If you are interested in this opening, please email us a copy of your resume as an MS Word attachment.

Thank you,

Tony Pietrzak
BCI - Financial Services Recruiting
10 S. Wacker Dr., Suite 1250
Chicago, IL 60606
312-460-8111 x104
tony@brokerageconsultants.com
www.brokerageconsultants.com