Calfee, Halter & Griswold LLP (Calfee), a full-service corporate law firm with offices in Cleveland, Columbus, Cincinnati, Indianapolis, and Washington, D.C. has an opportunity for a Chief Compliance Officer in the Investment Management group to join one of its Ohio offices. This role will report to the Chair of the Investment Management practice group.
The Chief Compliance Officer is responsible for developing, maintaining, and monitoring regulatory compliance standards for the registered investment adviser and broker-dealer clients of Calfee in the overall management of the client’s compliance program, the application of compliance policies and procedures, and the development of the firm’s governance and risk management practices. This includes developing an overall strategic vision for the compliance functional areas of Calfee broker-dealer and adviser clients, maintaining regulatory risk and governance oversight by analyzing and establishing internal controls for the client’s primary lines of business, communicating with senior management and departmental management, supervising employee conduct and firm operations, and coordinating the review of relevant policies and procedures of the client based on new regulatory guidance and industry best practices.
The candidate should have 8+ years of relevant compliance related experience and extensive knowledge of SEC and FINRA regulations. JD or advanced degree a plus. Prior compliance experience with registered investment advisors and broker-dealer clients is also required.
Interested candidates should submit a cover letter, resume and transcripts to Catherine Davis, Professional Recruiting Coordinator, at cdavis@calfee.com.
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