Deputy Chief Compliance Officer

MLA Global - Philadelphia, PA

ContractEstimated: $110,000 - $150,000 a year
Major, Lindsey & Africas Interim Legal Talent group has an immediate need for an Interim Deputy Chief Compliance Officer.


Draft compliance policies and procedures. Collaborate with business unit leaders to help create policies, procedures and a culture which sustains and strengthens compliance with federal banking and securities laws and other applicable regulations. ?
Provide practical, knowledgeable and effective advice on all compliance matters. Assist in the testing, training, and monitoring of these policies and procedures. ?
Due diligence. Conduct internal and external investigations and background checks; advise on diligence issues with respect to new and existing business. ?
Resolve compliance issues. Partner with the Company's legal, risk and internal audit teams to analyze and resolve potential compliance issues and respond to changes in regulatory requirements. ?
Continuously develop understanding of new rules and regulations. Remain current on relevant regulatory developments and best practices impacting the financial services industry.

Bachelor's and J. D. degree required. Other advanced degrees, certifications or licenses helpful. ?
Minimum eight (8) years of relevant experience in financial services and four (4) years of major law firm experience required; wealth management experience as related to trust or banking strongly preferred. ?
Experience with regulators and examinations as well as conducting internal investigations. ?
Experience with one or more of AML, ERISA, alternative assets, cybersecurity, privacy and international investment management strongly preferred.