Alternative Regulatory Solutions, LLC · 1 day ago
Chief Compliance Officer
Roseland, NJ
Full-time
Onsite
Director/Executive
$150K/yr - $225K/yr
10+ years expAlternative Regulatory Solutions is a national financial services consulting firm that provides outsourced regulatory support and compliance services. They are seeking a Chief Compliance Officer to lead the compliance program focused on Municipal Advisors, RIAs, and Broker-Dealers, responsible for compliance program design, regulatory interpretation, and client relationship management.
Financial Services
Responsibilities
Serve as the primary compliance advisor for a portfolio of Municipal Advisor Clients
Partner with firm leadership to help shape and refine the firm’s Municipal Advisor and RIA compliance service offerings
Support business development through subject-matter expertise, including participation in prospect discussions, client meetings, and proposal development
Design, implement and maintain RIA compliance programs in accordance with the Investment Advisors Act of 1940
Draft and update compliance manuals, policies, procedures, and codes of ethics tailored to client business models
Support clients through all phases of SEC examination
Build and maintain advanced knowledge of appropriate regulatory agency policies and procedures
Qualification
Required
Bachelor's Degree (preferred in Business, Economics, Statistics, Accounting)
10+ years of prior financial services (MA, BD, RIA or RIC) compliance experience
Demonstrated ability to design, implement, and manage compliance programs
Strong knowledge and understanding of the Investment Advisers Act 1940, ERISA, Dodd-Frank and other relevant regulations and laws that pertain to investors
Experience serving as a primary point of contact for regulatory examinations
Experience leading a team
Proficiency in the Microsoft Office Suite including Excel, Word, PowerPoint, and Outlook
Highly organized, adaptable, and motivated while bringing a positive attitude to solve difficult problems
Comfortable working in a small, entrepreneurial firm setting
Preferred
Experience in dealing with cybersecurity programs and vendor management a plus
Company
Alternative Regulatory Solutions, LLC
Alternative Regulatory Solutions, LLC (ARS) is a compliance consulting firm providing expert regulatory services to Municipal Advisors, Broker-Dealers, Bank Dealers, and RIA's.
2-10 employees
Funding
Current Stage
Early StageCompany data provided by crunchbase