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Chief Compliance Officer

Dallas, TX, USA | Crow Holdings Capital

  • Industry:
    Financial Services
  • Position Type:
  • Functions:
    Legal / Compliance
  • Experience:
Job Description:
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Crow Holdings Capital Partners, L.L.C., seeks an experienced Chief Compliance Officer to oversee all aspects of an investment advisory and affiliated broker-dealer compliance program for an investment platform that operates private equity-style real estate funds and separate accounts. This position will report to the General Counsel.


PRIMARY RESPONSIBILITES


Manage industry-standard SEC and FINRA compliance program, including employee education programs

Identify potential conflicts of interest and display the expertise and credibility to provide interpretive guidance and recommend resolutions to senior management

Oversee all components of the compliance program including recordkeeping, timely and accurate domestic and foreign regulatory reporting, oversight of custody issues and reporting requirements, maintaining up-to-date compliance manuals, supervising compliance audits, and ongoing assessment of conflicts of interest

Enhance and oversee annual and periodic testing programs to assess the adequacy of the firm’s policies and procedures. Review at least annually and provide written reports to support review

Collaborate with internal teams as needed to ensure best practices across the compliance program, including code of ethics and restriction monitoring, regulatory filings, and marketing materials review

Maintain and enhance communication with all areas of the business, especially the leadership team and General Counsel

Adapt and adjust job responsibilities to accommodate changing priorities while managing multiple requirements and timelines. Demonstrate flexibility and the ability to take on additional responsibilities to contribute to the growth and prosperity of the firm


DESIRED SKILLS & EXPERIENCE


Demonstrated relevant experience in regulatory compliance, specifically experience building and monitoring an SEC compliance program, in an investment management, asset management broker/dealer or investment consulting firm

Bachelor’s degree required; JD, MBA and/or CPA a strong plus

Comprehensive understanding of operational and compliance components of registered investment advisors including SEC, FINRA, other applicable regulations and the Investment Advisors Act of 1940

Demonstrated leadership and immediate credibility required to implement measures that promote a culture of compliance. Ability to build effective relationships within the business to provide guidance on practice and general regulatory concern

Strong analytical and problem-solving skills with indisputable attention to detail and ability to make and implement decisions, ability to manage time and resources to see projects to completion

Ability to work effectively in a team environment and independently; manages expectations effectively

Intuitive sense of honesty and highest ethical standards; all actions and decisions are consistent with corporate values


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