Senior Vice President Compliance & Risk Officer, Retirement & Private Wealth
About the Company
Profitable insurance brokerage providing investment & wealth management solutions
Industry
Insurance
Type
Privately Held, VC-backed
Founded
1998
Employees
10,001+
Funding
$200+ million
Categories
Specialties
Business Classifications
About the Role
The Company is seeking a Senior Vice President, Compliance and Risk Officer for its Retirement and Private Wealth division. This role is pivotal in the development and administration of the portfolio compliance program, ensuring that all regulatory and portfolio guidelines are met. The successful candidate will be responsible for supporting the design and implementation of controls and processes, working closely with various functional teams, and monitoring portfolio guideline compliance. A key aspect of the position is to support the process of implementing new guidelines, work with system providers on rule creation and maintenance, and participate in ad hoc strategic projects. The role demands a professional with a minimum of 4 to 6 years' of experience in the investment management industry, a strong knowledge of investment instruments, and familiarity with investment-related regulations and portfolio monitoring tools. Applicants for this role at The Company should possess an undergraduate degree in a relevant field such as finance, economics, or accounting, and demonstrate strong critical thinking, attention to detail, and excellent communication skills. The ability to work in a team environment, manage projects effectively, and exercise sound independent judgment is essential. A CFA designation or active status in the CFA program is a plus, as is a working knowledge of investment-related applications and SEC rules. The role offers a unique opportunity to join a high-growth, dynamic company and requires a candidate who is prepared to be a visible, senior leader, and who is dedicated to supporting the business while mitigating risk.
Hiring Manager Title
Chief Compliance Counsel
Travel Percent
25%
Functions
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