Deputy Chief Compliance Officer Job at Confidential, Newport Beach, CA

cnVqUHBNbHRsTkZWaUs2TGFaUzFzOHhsc2c9PQ==
  • Confidential
  • Newport Beach, CA

Job Description

Deputy Chief Compliance Officer

About the Company

Internationally acclaimed fixed income investment management firm

Industry
Investment Management

Type
Privately Held

Founded
1971

Employees
1001-5000

Categories

  • Banking
  • B2B
  • Consulting & Professional Services
  • Enterprise
  • Investment Management
  • Asset Management
  • Asset Management Companies
  • Asset Management Firms
  • Asset and Fund Management
  • Brokerage
  • Economics
  • FOREX
  • Finance
  • Hedge Funds
  • Investment Banking
  • Investment Management Companies
  • Investment Management Company
  • Investment Management Firm
  • Investment Management Firms
  • Investment Management Services
  • OPEC
  • Other Investment Firms
  • Financial Services
  • Crowdfunding
  • Venture Capital

Business Classifications

  • B2B
  • Enterprise

About the Role

The Company is seeking a Deputy Chief Compliance Officer with a strong background in fixed income instruments and derivatives to join their high-performance inclusive culture. The successful candidate will be responsible for providing strategic leadership and oversight for a broad range of compliance work, particularly in administering the firm's compliance program. This role demands a professional with deep investment management expertise, the ability to lead various aspects of the investment adviser compliance program, and a proven track record of success in a legal and compliance organization. The Deputy Chief Compliance Officer will also be expected to interact with clients, provide regular reporting on compliance risks, and assist in the development and execution of compliance projects. Applicants for this role at the company should have a J.D. with excellent academic credentials and significant compliance experience in a large and diverse investment management firm. The ideal candidate will have a strong knowledge of regulatory requirements, particularly those applicable to investment management firms, and a background in fixed income and derivatives. Management experience, a series of progressive roles in compliance, and a successful leadership track record are essential. The role requires an individual with a strong sense of integrity, capable of performing in line with the firm's core values, and with the ability to engage with regulators and develop relationships with both internal and external stakeholders. Deep investment management expertise in the U.S. mutual fund space is essential, and experience with alternative and private funds is a plus.

Hiring Manager Title
Vice President, Senior Compliance Officer

Travel Percent
Less than 10%

Functions

  • Finance
Confidential

Job Tags

Similar Jobs

Transitions Care - Central Illinois

Hospice Nurse - RN Case Manager Job at Transitions Care - Central Illinois

 ...Our people are the difference. Transitions Care is a leading hospice organization that has changed the hospice experience for patients...  ...experience the Transitions difference! As a Transitions Care RN Case Manager you will plan, organize, and direct hospice care. They... 

Sentara Health

RN - Transplant Coordinator, Renal Job at Sentara Health

 ...Overview Work Shift First (Days) (United States of America) Sentara Healthcare is seeking a Full Time/Day Shift Transplant Coordinator for our Kidney/Pancreas Transplant team at Sentara Norfolk General Hospital. Sign on bonus available for qualified candidate... 

Uline, Inc.

Warehouse Order Picker - Nights Job at Uline, Inc.

Warehouse Order Picker - Nights Pay from $27 to $34 per hour - That's up to $67,000 - $85,000 per year with bonuses! Pennsylvania Branch 700 Uline Way, Allentown, PA 18106 Uline: Where hard work and hustle are valued and rewarded. Hours: Sunday - Thursday...

LocumJobsOnline

Family Practice - Travel MD - Staples, MN - - 1535282 - Excellent Benefits 2024-12-09 Job at LocumJobsOnline

LocumJobsOnline is working with CompHealth to find a qualified Family Practice MD in Staples, Minnesota, 56479 About The Position CompHealth exists to make the locums process easier. Not only will we search for jobs that fit your interests, we'll be here to handle all the... 

Sedgwick County

Mobile Crisis Integrated Care Specialist III - COMCARE Job at Sedgwick County

 ...who are in crisis. This CCMs primary focus is to assist the Mobile Crisis Unit (MCU) Clinician by responding to all appropriate MCU...  ...abuse registry, and motor vehicle screens. Must complete orientations provided by Sedgwick County and COMCARE It is the policy...