Kinect
VP of Compliance
Kinect, Los Angeles, California, United States, 90079
Our client is a premier private wealth management and advisory firm based in Los Angeles, CA. They specialize in delivering bespoke financial planning and investment solutions to high-net-worth individuals and families. To support their continued growth and commitment to regulatory excellence, they are seeking an experienced Vice President of Compliance to join their dynamic team.
Job Description:
Position Overview:
As the Vice President of Compliance, you will be responsible for overseeing and managing the firm's compliance program. You will ensure adherence to regulatory requirements, develop and implement compliance policies, and provide strategic guidance to senior management. This role requires a deep understanding of the regulatory environment for wealth management and advisory services. You will work onsite at the Los Angeles office 3-4 days a week, playing a crucial role in maintaining the firm’s reputation for integrity and compliance.
Key Responsibilities:
Oversee and manage all aspects of the firm’s compliance program, ensuring adherence to SEC, FINRA, and other regulatory requirements.
Develop, implement, and maintain compliance policies and procedures.
Conduct regular compliance audits and risk assessments to identify and mitigate potential issues.
Provide strategic compliance advice to senior management and the board of directors.
Stay current with regulatory developments and ensure the firm’s practices align with evolving standards.
Coordinate and lead regulatory examinations and audits, including the preparation of necessary documentation.
Develop and deliver compliance training programs for staff.
Investigate and resolve compliance issues, including client complaints and regulatory inquiries.
Collaborate with legal, operations, and investment teams to ensure integrated compliance efforts.
Maintain accurate records of compliance activities and prepare regular reports for senior management and regulatory bodies.
Qualifications:
Bachelor’s degree in Finance, Law, Business Administration, or a related field; advanced degree or relevant certifications.
Minimum of 3-5 years of experience in compliance within the wealth management or financial services industry.
Extensive knowledge of SEC, FINRA, and other relevant regulatory requirements.
Proven track record of developing and implementing effective compliance programs.
Strong analytical and problem-solving skills.
Excellent communication and interpersonal skills.
High ethical standards and attention to detail.
Ability to work independently and as part of a collaborative team.
Proficiency in compliance software and Microsoft Office Suite.
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Job Description:
Position Overview:
As the Vice President of Compliance, you will be responsible for overseeing and managing the firm's compliance program. You will ensure adherence to regulatory requirements, develop and implement compliance policies, and provide strategic guidance to senior management. This role requires a deep understanding of the regulatory environment for wealth management and advisory services. You will work onsite at the Los Angeles office 3-4 days a week, playing a crucial role in maintaining the firm’s reputation for integrity and compliance.
Key Responsibilities:
Oversee and manage all aspects of the firm’s compliance program, ensuring adherence to SEC, FINRA, and other regulatory requirements.
Develop, implement, and maintain compliance policies and procedures.
Conduct regular compliance audits and risk assessments to identify and mitigate potential issues.
Provide strategic compliance advice to senior management and the board of directors.
Stay current with regulatory developments and ensure the firm’s practices align with evolving standards.
Coordinate and lead regulatory examinations and audits, including the preparation of necessary documentation.
Develop and deliver compliance training programs for staff.
Investigate and resolve compliance issues, including client complaints and regulatory inquiries.
Collaborate with legal, operations, and investment teams to ensure integrated compliance efforts.
Maintain accurate records of compliance activities and prepare regular reports for senior management and regulatory bodies.
Qualifications:
Bachelor’s degree in Finance, Law, Business Administration, or a related field; advanced degree or relevant certifications.
Minimum of 3-5 years of experience in compliance within the wealth management or financial services industry.
Extensive knowledge of SEC, FINRA, and other relevant regulatory requirements.
Proven track record of developing and implementing effective compliance programs.
Strong analytical and problem-solving skills.
Excellent communication and interpersonal skills.
High ethical standards and attention to detail.
Ability to work independently and as part of a collaborative team.
Proficiency in compliance software and Microsoft Office Suite.
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