Chief Compliance Officer
Birmingham, AL Compliance
Job Type
Full-time
Description

Vulcan Value Partners, LLC is sourcing for a dynamic Chief Compliance Officer who functions in an innovative, efficient
and detail-oriented manner. The CCO is responsible for a full range of activities which ensure the effectiveness of the
firm’s compliance program and overall operational excellence. The candidate should be a strategic leader who is
extremely motivated, resourceful, and well organized. This position is primarily responsible for overseeing the risk
control and compliance functions of the firm and for ensuring the application of effective controls and adherence to
applicable laws, regulatory requirements, and the firm’s policies and procedures. The CCO will also be expected to
provide leadership, direction, and oversight in order to promote the firm’s overall goals and objectives. 


 Primary Duties & Responsibilities:


• Oversee and monitor the structure and implementation of the compliance program and team
• Develop the annual compliance work plan that reflects the firm's unique characteristics and periodically revise the plan to reflect organizational changes
• Oversee the preparation and ensure the accuracy and timely submission of all regulatory filings
• Oversee the review of external communications and presentations in order to reduce risk and ensure compliance with applicable regulations
• Review and document all risks and controls associated with the significant operational functions of the firm
• Revise and enhance existing controls to address any existing and potential material weaknesses
• Review, test and revise current policies and procedures both initially and continuously to ensure adequacy and improve effectiveness
• Prepare reports for senior management regarding all review and testing findings
• Ensure leadership is continuously informed of all aspects of the firm’s compliance and operational risk management activities, including an evaluation of its relative risk exposure as it relates to compliance
• Define and enable the necessary level of knowledge on existing and emerging regulatory compliance requirements across the organization
• Respond to regulatory investigations and queries as the principal point of contact; coordinate efforts related to audits, reviews, and examinations
• Coordinate the preparation and review of client due diligence requests
• Independently investigate and act on matters related to compliance
 
 

Requirements

  Required Skills & Qualifications:


• Master’s Degree or equivalent and relevant experience and skills
• 10+ years in a compliance leadership role in the asset management industry or in securities law practice
• Strong knowledge of securities laws that relate to investment advisers (e.g., Investment Advisers Act, Investment
Company Act, Securities Act, Commodities Exchange Act, ERISA, UCITS Regulation)
• Extensive experience with regulatory platforms (i.e. FINRA Gateway IARD/CRD/E-Bill), portfolio management systems,
and CRM software.
• Exceptional oral and written communication abilities
• Interpersonal and professional skills necessary to work and thrive in an office setting
• Goal-oriented and able to work in a fast-paced environment
• A self-starter that possesses the essential skills to efficiently manage a compliance team
• Skilled in setting priorities and managing time to accurately reflect the relative importance of job responsibilities both
personally and for the other members of the compliance team
• Ability to analyze situations for compliance and business risk, and implement solutions to address and mitigate such
risk.
• High competency with MS Word, Publisher, Power Point, and Excel