Chief Compliance Officer

Confidential Candidate 201084

Current Title: Global Chief Compliance Officer

Seeking Titles: Chief Compliance Officer; Director of Regulatory Compliance; Director Risk and Compliance

• Experienced professional with expertise in helping firms navigate dynamic regulatory environments by proactively advising business partners on compliance requirements across global investment management and advisory business
• Proven track record of leading and improving compliance programs by implementing successful operational and compliance control enhancements at my previous three firms which reduced compliance risks, and ensured policies and procedures were aligned to business practices and industry best practices.
• Attained employee recognition award for outstanding achievements made for identifying and controlling risks at Aon.
• Excellent communication skills, allowing for the cultivation of positive and mutually beneficial business partner relationships while maintaining a strong dedication to ethical conduct.
• Demonstrated ability to effectively lead teams to work independently and cooperatively with other business groups with differing priorities and perspectives.
• Obtained Management Engagement score of 95% while leading team of compliance professionals by developing a leadership training program for direct reports.

1. Perm, Contract, or Either? Permanent
2. What is your legal working status? US Citizen
3. Motivation: (4) Active
4. Current Base Compensation? $300k
5. Current Bonus Compensation? 66% of base
6. Target Base (direct hire)? $250-300
7. When is your bonus paid out? February
8. Annual raise increase? 0%
9. Tuition Reimbursement? No
10. General Current Insurance/Benefit Information? 401k match, health/dental/vision, Short and Long-term life for self and dependents, HSA
11. Current PTO? 25 days/All major stock market holidays/Sick time/Paid FMLA leave
12. Relocation (Y/N) (cities)? Open to relocation - TX, FL
13. Travel (Y/N) percentage? Y - open to listen to percentage travel

• Technology Systems (ERPs)? Bloomberg, Charles River,

Microsoft Products? (Advanced, Intermediate, or Entry Level)

1. Excel: Intermediate
2. Access: Entry
3. Word: Advanced
4. Power Point: Intermediate

Industry experience? 25 years

Industry targets? Financial - securities; open to other industries if skills transfer

Three Most important criteria to make a move?

1. Criteria: Smaller firm with growth - hybrid (in-person/remote flexibility)
2. Criteria: Opportunity to grow into role
3. Criteria: Work/Life Balance

1. Number of Interviews last 6 months? None - recently started seriously considering different opportunities

• Candidate ID: 201084

Interested in this candidate?