Fund Chief Compliance Officer Job at Back Bay Staffing Group, Southport, ME

  • Back Bay Staffing Group
  • Southport, ME

Job Description

New England Fund Chief Compliance Officer

Develop/review/update compliance policies and procedures for the Funds, ensuring that they meet the requirements of Rule 38a-1 under the Investment Company Act of 1940 and comport with industry best practices; Conduct periodic reviews of the adequacy of the Funds' and the Service Providers' compliance policies and procedures and determine the effectiveness of their implementation; Recommend the incorporation into the Funds' compliance policies and procedures of any new or amended regulations or best practice initiatives that may be appropriate; Perform and document testing of certain key Fund and Service Provider compliance procedures, including collecting and organizing relevant compliance data and reviewing reports, investigating exceptions, and making inquiries of Fund management and the Service Providers; Conduct site visits to the Adviser and/or Sub-Advisers and other Service Providers as necessary; Meet periodically with Fund management; Prepare quarterly and annual CCO reports for the Funds' Board and attend Board meetings (in-person and telephonic); Provide other services and assistance relating to the affairs of the Funds as the Board may, from time to time, reasonably request in connection with the CCO's compliance responsibilities; Maintain records relating to the Compliance Program as required by applicable laws and regulations; Provide AML consulting and training.

Job Tags

Similar Jobs

Blacksmith Agency

Remote Paid Search & SEO Growth Lead Job at Blacksmith Agency

Blacksmith Agency is scaling its marketing division to support a growing portfolio of PPC and SEO clients across multifamily, B2B and technical verticals. As Paid Search Manager at Blacksmith, you own strategy, performance and client-facing leadership across paid search... 

ScaleJet

Senior Amazon PPC Manager Job at ScaleJet

 ...Senior Amazon PPC Manager Belgrade, Belgrade, Serbia About the Job Senior Amazon PPC Manager Our client, a dynamic Amazon...  ...immediate opening for a Senior Amazon PPC Manager for a full-time remote job. As the Senior Amazon PPC Manager, you'll play a critical... 

The CKHobbie Group

Remote/Hybrid Registered Nurse (RN) - Advocacy & Program Integrity (Hospice Expert) Job at The CKHobbie Group

 ...Registered Nurse: Review and EvaluationAre you a registered nurse ready to take your career in an exciting new directionone where...  ...outcomes on a meaningful scale. Enjoy the freedom of working from home, the flexibility and autonomy to manage your workday, and the... 

CompuGroup Medical

Digital Marketing Specialist Job at CompuGroup Medical

 ...digital marketing with a strong focus on SEO and paid search.Advanced PPC across multiple digital advertising platforms; skilled in budget...  ...the digital age. Together, we can make a lasting difference.SummaryLocation: Austin; Remote - United States of AmericaType: Full time

AMS Staffing Inc.

Legal Executive Assistant Job at AMS Staffing Inc.

 ...should the person you refer gets hiredJOB DESCRIPTION About the Firm Our client is one of the nations largest and most highly regarded law firms dedicated exclusively to international trade and customs law. The firm represents a broad spectrum of clientsfrom privately...