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VP, Chief Compliance Officer, Investments

Job Purpose

This position is responsible for developing and monitoring broker dealer, RIA and Insurance compliance programs and ensuring they comply with all pertinent legal and regulatory requirements. Responsible for working with all regulatory agencies and internal/external clients and partners to resolve compliance issues; providing counsel and training to staff; and reviewing prospectuses, applications, and advertising materials. It is also expected that the Chief Compliance Officer (CCO) will establish and maintain productive, trusting relationships with CBSI s regulators and work to ensure CBSI excels in its regulatory exams. The position has overall accountability for the implementation and oversight of compliance programs and processes, as well as the identification and mitigation of specific compliance risks. This position has accountability for leading and supervising the compliance team.

Job Responsibilities:

  • Chief Compliance Officer for CUNA Brokerage Services, broker dealer and registered investment advisor; as well as Chief Compliance Officer for a registered investment adviser, MEMBERS Capital Advisors, Inc. and overall responsibility for investment compliance including the general accounts.
  • Provide leadership, direction, counsel and oversight for investment compliance issues surrounding registered investment product and registered investment advisor activities. Supports the investment product areas to research, communicate, and mitigate potential compliance issues associated with proposed investment activity or product developments.
  • Represent compliance perspective to President of CUNA Brokerage Services for inclusion in long term planning and direction of investment area and to anticipate potential impact to changes.
  • Establish and maintain good, trusting and transparent relationships with all of CBSI s regulators and work to achieve successful regulatory exam results
  • Accountable for all investment compliance activities within the company to include but not limited to:
    • Oversight and review of regulatory filings, company materials, processes and procedures and ensuring they are and continue to be in line with company and regulatory compliance standards
    • Delivering efficient and effective compliance solutions in line with company and regulatory obligations
    • Ensuring investment staff are informed of relevant compliance information and trained as appropriate
    • Providing appropriate reporting and communication on the status of compliance issues
    • Continually identify, assess, manage and monitor significant compliance risks including operational issues and legal/regulatory requirements
  • Review all service providers (subadvisers, transfer agent, fund accountant, and distributor) for the funds on an annual basis for compliance with their applicable regulations and risk mitigation.
  • Conducting an annual assessment of the compliance programs. Write annual reports to the funds and the advisor s board related to results of annual reviews.
  • Maintain and foster effective relationships at all levels both within and outside of the company with senior leaders, Enterprise Risk department, Internal Audit, Corporate Compliance and Legal as well as product management and sales and marketing, portfolio managers, traders, research, analysts and Wall Street.
  • Work with CBSI leaders to insure the business operates with the highest integrity while using common sense and good judgement in all decisions as to impact on risk, members, advisors, employees and the business.
  • Leadership:
    • Responsible for hiring, leading, motivating and rewarding a team of compliance professionals
    • Facilitate the development of team members to maximize their value to the company
    • Assure adequate staffing and resources to provide services to clients

Job Requirements:

  • Undergraduate degree required. Graduate and/or Law degree preferred
  • FINRA Series 7, 24, 63, and 65 registrations; as well as Life, Health and Variable licenses required or required to obtain within 90 of start date.
  • 10+ years progressively responsible compliance leadership experience with a registered investment advisor or public mutual fund company to include in-depth knowledge of business operations
  • Ability to select, lead and develop a small group of professionals.
  • Deep experience in translating strategy into action with solid planning and execution.
  • Ability to form long-term relationships at all levels with co-workers, Wall Street and internal/external clients. Proven skill in negotiating, influencing and willingness to involve others in the decision making process. Ability to clearly communicate in a range of methods (written, verbal, formal presentation).
  • Achievement orientation demonstrated by a long track record of leadership, solid judgment, high performance and achievement of target results.
  • Demonstrated knowledge of Bloomberg and other investment management systems as well as the MS Office suite
  • Ability to travel a minimum of 50%
  • Strong alignment culturally with the mission, heart, values and culture of CBSI and Cuna Mutual Group including building strong, transparent, trusting and productive relationships with CBSI leaders and financial advisors.

LI-SW

CUNA Mutual Group s insurance, retirement and investment products provide financial security and protection to credit unions and their members worldwide. As a dynamic and growing company, we strive to create a culture of performance, high standards and defined values. In return for your skills and contributions, we offer highly competitive compensation and benefit packages, significant professional growth, and the opportunity to win and be rewarded.

Please provide your Work Experience and Education or attach a copy of your resume. Applications received without this information may be removed from consideration.



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