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Chief Compliance Officer

San Francisco, CA, USA | Leading Financial Services Company

  • Industry:
    Financial Services
  • Position Type:
  • Functions:
    Legal / Compliance
  • Experience:
    10-12 years
Job Description:
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This position is for the Chief Compliance Officer of Symphony Asset Management. The position is located in San Francisco and reports to the Nuveen Head of Affiliate Compliance, located in New York. 


The Chief Compliance Officer is responsible for Symphony’s Compliance program, with the understanding that the position involves a “hands on” approach. The Chief Compliance Officer will work on a wide variety of compliance-related matters involving Symphony’s private funds and SMA clients, credit based strategies and CLO’s and he/she will lead all areas of the compliance program. The Chief Compliance Officer will engage in a wide range of activities that assist with facilitating the development, maintenance and enhancement of Symphony’s compliance program elements. The Chief Compliance Officer will also be for supervising Compliance staff and providing advice and guidance pertaining to the completion of compliance functions and tasks as well as performing some of them.


MAJOR RESPONSIBILITIES:


Provide day-to-day Compliance support to the Symphony’s business, including:


• Working with the Head of Affiliate Compliance to ensure that Symphony’s Compliance program incorporates that all require program elements while leveraging Compliance’s shared services at Nuveen and/or Leading Financial Services Company to maximize control efficiencies


• Developing and maintaining written compliance policies and procedures and establishing process for a documented annual review of such policies


• Reviewing, completing and maintaining the Annual Compliance Risk Assessment Drafting the Annual Compliance Reports


• Preparing for and responding to regulatory inquiries and examinations as well as internal audit and other reviews


• Design, execute and as appropriate perform or coordinate all appropriate monitoring processes and protocols, including investment guidelines, limitations, emails transaction surveillance and allocations among others


• Oversight of and review of marketing materials


• Participating in investor due diligence meetings and operational due diligence that support the business’s goals including reviews and approvals of RFPs, etc


• Design and generate recurring metrics for all key stakeholders


• Utilization of Nuveen/Leading Financial Services Company issue management tracking systems to report potentially systemic issues 


• Providing advice and regulatory guidance in connection with the development of new products.


• Liaising with the Nuveen Compliance Ethics Office pertaining to Symphony employee conduct matters and ensuring the timely resolution of such matters


• Providing compliance specific trainings to employees


• Oversee and/or execute Symphony’s regulatory filings, such as Form ADV, Form PF and relevant internal and client certifications


• Providing ongoing hands-on support and execution with respect to all critical ad-hoc compliance projects, as needed


• Staying abreast of ongoing regulatory developments and/or material regulatory changes in applicable law and regulations


• Key contributor to Symphony’s and Nuveen’s Compliance Strategic Plan


QUALIFICATIONS:


• Bachelor degree or higher in a related field


• 10 years of related Compliance experience with strong knowledge of the Investment Adviser’s Act of 1940 and prior experience preferably as a CCO or Deputy CCO


• Prior regulatory experience with the SEC or FINRA is desired


• Experience managing and training a small team 


• Strong ownership mentality with exceptional resourcefulness and drive for results. 


• Solution oriented


• Knowledge of credit instruments and products including CLO’s, loans, high yield, CDS and other derivatives


• Must be extremely organized, detail-oriented and have an analytical mindset with the ability to deliver key insights on complex compliance and business matters


• Excellent oral and written communication skills


• Ability to engage and work effectively with senior business management, parent company teams and staff in multiple locations


• Ability to manage and effectively influence while providing advice and guidance


• Ability to effectively prioritize work and manage multiple projects simultaneously


• Extremely strong work ethic, time management skills and the ability to work independently to produce deliverables on tight deadlines


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