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
...instructional day when required or requested to do so under reasonable terms. # Plans and supervises purposeful assignments for teacher aide(s) and volunteer(s) and, cooperatively with department heads, evaluates their job performance. # Strives to maintain and improve...
...Job Description Job Description School Nurse (RN) Opening | Granit Falls, WA Are you a licensed Registered Nurse (RN) looking for a new opportunity? Do you have a passion to help students and collaborating with special education teams? We have the perfect full-...
...the user interface Designing data models and implementing Salesforce objects, including custom objects, fields, and relationships... ...concepts in Security, DevSecOps and Agile principles ~ Experience developing reporting and dashboards in Salesforce ~ Excellent...
...corporate offices in London, New York, Dallas, and Seattle. Location: Monterey Tides Monterey, CA Overview: The Restaurant Server is responsible for providing the highest quality of service to guests in an attentive, courteous, and efficient manner. They...
Please Note: HuFriedyGroup was divested from STERIS on May 31, 2024. We are currently in a transition period, working to re-establish our own HuFriedyGroup Careers site and job posting pages. Until the new site and pages are ready, career opportunities that are specific...