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Consultant - Chief Compliance Officer

Remote: 
Full Remote
Work from: 
New York (USA)

Offer summary

Qualifications:

Experience in compliance at financial firms, Knowledge of SEC regulations and audits, Strong communication and analytical skills, Computer proficiency, including Excel.

Key responsabilities:

  • Advise hedge fund and family office clients
  • Develop and implement compliance programs
  • Create action plans and provide resources
  • Evaluate progress through KPIs
  • Maintain detailed consulting records

Arootah LLC logo
Arootah LLC Professional Training & Coaching Small startup https://www.arootah.com/
2 - 10 Employees
See all jobs

Job description

WHO WE ARE: 
Arootah is a rising personal and professional development leader in the Investment and Financial Services industry.  Our mission is to empower and elevate the performance of individuals and companies through Coaching and Business Advisory services while utilizing cutting edge SaaS technology.  Our Business Advisory Services focuses on the specific needs of Hedge Funds and Family Offices and leverages30 years of Rich Bello’s experience as Co-Founder and COO of Blue Ridge Capital, one of the most successful hedge funds in the world.  Rich is a Wharton graduate and held leadership positions at Morgan Stanley, Tiger Management, and Ernst & Young.  Our Advisory Services imparts the tools, policies, procedures and methods for executives and business leaders to gain practical, hands-on expertise from our experienced roster of consultants to support business and individuals to raise their high standards- taking the next steps to maximize their potential.   
    
WHO YOU ARE: 
Arootah is searching for Hedge Fund/Family Office Chief Compliance Officers to advise clients on industry best practices. As a Compliance Consultant, you will work with our hedge fund and family office clients to provide expert advice.  Having previously served in the role(s) of Chief Compliance Officer (CCO), Director of Compliance or Compliance Officer, you have specific, hands-on experience developing, implementing, and managing a full compliance program for a leading hedge fund or family office.   


What You'll Do
  • Work with clients on a part-time, temporary, or ad-hoc basis to solve their most pressing compliance needs 
  • Help the client develop realistic and effective monthly action plans 
  • Identify internal and contextual roadblocks  
  • Break apart goals into actionable steps  
  • Devise a plan of action for each goal  
  • Provide the client with resources associated with implementing their action plan  
  • Teach and mirror successful and positive techniques 
  • Implement policies, procedures, and control measures 
  • Evaluate each client’s advancement toward goal actualization through key performance indicators (KPIs) and scoring matrices 
  • Maintain and share detailed and accurate records of consulting results (challenges, breakthroughs, etc.)  

    • Qualifications
  • Specific experience at a financial services or hedge fund firm working with the rules and regulations of the U.S. Securities and Exchange Commission.
  • SEC audits and examinations 
  • Effective written and verbal communication skills 
  • Strong problem-solving and critical thinking skills, with a keen ability to perform GAP analysis and recommend best practices to achieve results 
  • Ability to build rapport and work with people from all over the world  
  • Effective communication 
  • Personable and relatability skills 
  • Basic computer skills  
  • Proficient in Excel and PowerPoint 
    • Work for a well-funded disruptor in the finance, wellness, and technology space 
    Culture of inspired continuous improvement in all areas of business and life 
    Autonomy in your work 
    The ability to work remote 
    Flexible hours 
    Access to our Digital Wellness Center, including past webinars, seminar videos, and workbooks 

    Required profile

    Experience

    Industry :
    Professional Training & Coaching
    Spoken language(s):
    English
    Check out the description to know which languages are mandatory.

    Hard Skills

    Securities RegulationGap AnalysisBank Compliance

    Other Skills

    • Adaptability
    • Microsoft PowerPoint
    • Problem Solving
    • Rapport Building
    • Critical Thinking
    • Microsoft Excel
    Are you interested?

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