Overview: Strategic Income is seeking a dedicated and detail-oriented Chief Compliance and Operations Oversight Officer to support multiple facets of our Firm's day-to-day operations, including operational and compliance risk assessment and mitigation, daily accounting/reconciliation, and trading. As a leader in High Yield Fixed Income Management, we are committed to maintaining the highest standards of operational and regulatory compliance with all federal, state, and industry regulations.
Responsibilities:
- Assume Chief Compliance Officer position after onboarding and training by current Chief Compliance Officer.
- Implement an effective regulatory compliance program.
- Proactively audit processes, practices, and documents to identify weaknesses.
- Evaluate business activities (e.g., investments) to assess risk.
- Ensure all employees are educated on the latest regulations and processes.
- Stay abreast of internal standards and business goals.
- Support the implementation of business strategies, plans, and procedures.
- Oversee daily operations of the company.
- Evaluate performance by analyzing and interpreting data and metrics.
- Manage relationships with partners/vendors.
Qualifications:
- Previous experience at an SEC registered investment adviser or similar.
- Familiarity with industry practices and professional standards.
- Excellent communication skills.
- Integrity and professional ethics.
- Business acumen.
- Attention to detail.
- Understanding of business functions such as HR, Finance, marketing etc.
- Demonstrable competency in strategic planning and business development.
- Outstanding organizational and leadership abilities.
- Excellent interpersonal and public speaking skills.
- Aptitude in decision-making and problem-solving.
- BSc/BA in law, finance, business administration, or a related field.