Our client is looking for a Chief Compliance Officer (“CCO”) for a new (in development), Bank owned, Registered Investment Advisor based in the US (Miami).
This position will be responsible for developing, implementing, communicating, and reviewing corporate policies, procedures, manuals, trends and systems designed to enable the RIA to effectively manage risk and remain in Compliance with the various regulatory authorities.
The CCO will also be responsible for ensuring that the RIA reporting complies with regulatory requirements as well as firm policies and supervisory procedures. The Chief Compliance Officer will provide leadership and strategy to compliance, risk management, control & operations of the firm.
The RIA will cater to Latin American clients hence the position should be knowledgeable of KYC policies and procedures both in the US and in Latam (mainly Mexico).
This is a senior position, hence 10 years of previous experience in a similar role are required. Ideally, the candidate should have experience in the US in a RIA or Broker dealer that services international clients. Spanish language skills are also required.
Miami, Florida
Salary: $200,000 - $250,000
