Chenery Compliance Group

Location: Wayne, PA or Remote

Overview

Chenery Compliance Group (CCG) is seeking a Director, Compliance Officer to join a growing team of client-focused, technically versatile, and collaborative compliance professionals. 

CCG is an independent institutional quality boutique that provides SEC Chief Compliance Officer outsource solutions and regulatory risk protection for SEC ERAs, Registered Investment Advisers and Registered Investment Companies (including: institutional, wealth, alternative and private fund investment advisers, registered funds and series trusts).

Chenery Compliance was founded with the sole purpose to help protect our clients from regulatory risk, enabling them to focus on investing and business building.

Responsibilities:

• Implement and oversee client compliance engagements as required by Rule 206(4)-7 of the Investment Advisers Act of 1940, and the Investment Company Act of 1940;
• Provide comprehensive, hands-on, and consultative guidance to clients regarding SEC regulation and industry best practices;
• Lead and participate in periodic client meetings, investment and compliance committee meetings, compliance training sessions, and other various meetings;
• Lead the development and management of written policies and procedures, client compliance calendars, risk assessments, and disclosures;
• Oversee the drafting and submission of all regulatory documents such as Form ADV, Form PF, Form 13 filings, etc.; 
• Responsible for guiding clients through SEC regulatory exams and interfacing with regulatory examiners;
• Maintain and track the compliance calendar, project workflows, and various other processes;
• Coach and develop Compliance Associate’s and other junior CCG employees;
• Assist in the development and growth of CCG and our services.

Required Skills & Experience

The ideal candidate will possess the following experiences and attributes:

• Strong working knowledge of, and ability to practically apply, relevant federal securities laws and associated rules and regulatory positions thereunder (e.g., Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Exchange Act of 1934);
• +10 years relevant compliance experience at an investment manager and a compliance consultant, required;
• Excellent problem solving, analytical ability, oral and written communication skills;
• Ability to effectively interact with senior/executive management and regulators; 
• Strong interpersonal and influencing skills to achieve positive outcomes with constituencies over whom the incumbent has no direct authority;
• Ability to work well in a fast-paced, small-team environment;
• Ability to work independently, multi-task and prioritize effectively;
• Strong oral and written communication skills;
• Strong analytical skills with the ability to exercise discretion and make independent judgments;
• Highly motivated and goal oriented; volunteers for and shows initiative on tasks and projects;
• Bachelor’s degree required and professional certification, preferred.

To apply: Please send your resume to jshimer@chenerycompliance.com