Overview

As the compliance leader and subject matter expert, the Chief Compliance Officer is responsible for establishing standards and implementing procedures to ensure that the compliance programs throughout the organization are effective and efficient in identifying, preventing, detecting and correcting noncompliance with applicable rules and regulations.

The Chief Compliance Officer has to provide reasonable assurance to Senior Management, Regulatory Bodies and the Board of Directors that there are effective and efficient policies and procedures in place, well understood and respected by all employees, and that the company is complying with all regulatory requirements.

REQUIREMENTS
  • 5+ years in a C-level compliance role for a registered investment advisor.
  • Successful track record in implementing compliance policies and procedures.
  • Ability to implement regulatory grade policies and procedures.
  • ‎Communicate highly complicated topics into easily understandable content and deliverables.
RESPONSIBILITIES
  • Maintaining current knowledge of laws and regulations, keeping abreast of recent changes
  • Developing an annual compliance work plan that reflects the institution’s highest risks that will be monitored by the compliance function as determined by conducting a mandatory annual risk assessment using an enterprise wide approach.
  • Providing guidance to the board of directors, senior management, staff, and employees on compliance
  • Overseeing and monitoring the implementation of the compliance program.
  • Reporting on a regular basis on the progress of implementation, and assisting these components in establishing methods to improve efficiency and quality of services, and to reduce the vulnerability to fraud, abuse, and waste
  • Periodically revising the program in light of changes in the needs of the organization, and in the law and policies and procedures of government.
  • Developing, coordinating, and participating in a multifaceted educational and training program.
  • Developing materials at an institutional level for distribution to all employees to enhance awareness of compliance activities.
  • Coordinating internal compliance review and monitoring activities.
  • Responding to government investigations and queries as the principal point of contact
  • Independently investigating and acting on matters related to compliance.
COMPENSATION
  • Base salary paid in USD, ETH, BTC or ETHOS
  • Potential upside equity in a funded registered investment advisor