Chief Compliance Officer (CCO), Multiple Series Trusts
Confidential
Chief Compliance Officer (CCO), Multiple Series Trusts
About the Company
Pioneering commercial bank & financial services company
Industry
Banking
Type
Public Company
Founded
1863
Employees
10,001+
Categories
- Financial Services
- Banking
- Investment Management
- Banking & Mortgages
- Consulting & Professional Services
- Finance
- Bank
- Banking Services
- Banks and Institutions
- Business
- CEOs and Executives
- Consumer Banking
- Oregon
- Personal Banking
- Insurance
- Investment Banking
Specialties
- financial services
- banking
- payments
- loans
- deposits
- mortgage
- home equity
- and wealth management
- asset-based lending
- commercial lending
- custody services
- equipment financing
- foreign exchange
- fund services
- global payments and receivables
- liquidity and asset management
- loan syndication
- market risk management
- payment processing
- treasury management
- supply chain financing
- wealth management
- and financial services
Business Classifications
- B2B
- B2C
About the Role
The Company is seeking a Chief Compliance Officer (CCO) for one of its multiple series trusts, which includes mutual funds and exchange-traded funds. The CCO will be a key member of the Governance and Control team, responsible for maintaining the trust's compliance program, overseeing compliance with regulatory requirements, and managing the trust's regulatory examinations. This role involves working closely with service providers, including independent investment advisers and various fund services, to ensure their compliance programs align with the trust's standards. The CCO will also be involved in the creation of new compliance policies and procedures in response to regulatory guidance and will act as the trust's anti-money laundering (AML) officer. Applicants for the CCO position should have a Bachelor's degree, with a preference for a related field, and at least 10 years' experience in a compliance or financial industry role, particularly in a CCO or securities-related capacity. Strong knowledge of federal securities regulations, including the 1940 Act, Advisers Act, and AML, is essential. The role requires excellent organizational, analytical, managerial, and project management skills, as well as the ability to manage multiple projects and deadlines. Effective communication, both verbal and written, and the ability to work independently while being a team player, are also necessary. The CCO will be expected to travel occasionally and participate in departmental projects and other tasks as assigned.
Functions
- Legal
Vacancy posted 3 days ago
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