Robert Half Finance & Accounting Mandarin Speaking Chief Compliance Officer in New York, New York
My Client is looking to hire a Mandarin Speaking Chief Compliance Officer who is a self-starter, assertive, confident, and enthusiastic to be part of our management team in our New York headquarters. Under the general direction of the senior management team, the Chief Compliance Officer will own and drive the development and administration of the Asset Management Compliance Program relating to its registration as a Registered Investment Adviser. Main Responsibilities:
Maintain WSPs, Compliance Policies and Procedures and Code of Ethics and performs regular reviews of compliance manual and related documents as necessary
Work with senior management, field leaders to implement and enforce supervisory controls and related processes to ensure early detection and mitigation of potential compliance and supervisory failures
Reports significant compliance issues and relevant updates, significant regulatory developments and internal compliance initiatives
Coordinates and completes all government, regulatory and other corporate and compliance documents for the organization
Prepare and submit annually a written report to SEC; updates and maintains all necessary documentation for SEC examinations of the firm, e.g. the Firm's Form ADV
Reviews all marketing materials for RIA compliance Review all marketing materials and communications to sure consistency with applicable regulations.
Maintains detailed knowledge base of all applicable regulations and best practices related to Registered Investment Advisers and implements required changes
Keep up to date with new regulatory requirements and ensure communication of best practices/new rules to appropriate staff within the Firm.
Assist with regulatory exams and inquiries Please send all resumes to firstname.lastname@example.org
Robert Half Finance & Accounting, the world's leader in specialized financial staffing, provides exciting full-time opportunities in the areas of accounting, bookkeeping, finance, audit, taxation and more. We pioneered the professional staffing industry, and we've been successfully matching professionals with employers since 1948. Our proven proprietary processes, along with our relationships in 325 locations worldwide, allow us to provide you unparalleled access to exciting career opportunities. But don't take our word for it. Our company has appeared on Fortune® magazine's list of "World's Most Admired Companies" since 1998, and 9 out of 10 of our customers would recommend our service to a colleague.
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Req ID: 02944-9501129276
Functional Role: Compliance Officer
City: New York
Postal Code: 10017
Compensation: $170,000.00 to $250,000.00 per year
Bachelor's Degree required; graduate degree preferred, legal degree a plus.
Minimum 5-8 years of compliance experience with an SEC registered investment adviser, broker-dealer or mutual fund company.
Familiar with all SEC-registered investment advisor rules and regulations, including the Investment Advisors Act of 1940, and the ability to apply that knowledge strategically in light of changing regulation and business initiatives.
Working in an English/Chinese bilingual environment, must be fluent in Mandarin Chinese
Proven ability to identify, solve and prevent compliance issues.
Ability to clearly and effectively communicate and escalate issues to management.
Strong organization and influencing skills.
Detail oriented with ability to multi-task, effectively prioritize responsibilities and produce results.
Strong relationship building skills; ability to develop and foster trust-based relationships with the various business lines supported.
Series 7, 24, and 66 (or 63 and 65) a big plus.