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For Companies At a Glance
- Tasks: Lead compliance efforts and ensure adherence to regulations in a dynamic investment environment.
- Company: Join a South Florida private investment firm with a strong reputation in the financial services sector.
- Benefits: Enjoy a full-time role with opportunities for professional growth and development.
- Why this job: Be part of a newly created position that shapes compliance strategy and impacts the firm's success.
- Qualifications: Must have deep knowledge of the Investment Advisors Act and experience with SEC registered advisors.
- Other info: This is an executive-level position, perfect for those looking to make a significant impact.
The predicted salary is between 72000 - 108000 £ per year.
Direct message the job poster from SkyWater Search Partners
Investment Management & Financial Services Practice Lead, Executive Recruiter
- Job Tag:
- Posted: February 19, 2025
We are partnered with a South Florida based private investment firm to help them find a newly created Deputy Chief Compliance Officer.
Deep knowledge of the Investment Advisors Act of 1940, SEC Filings and experience at an SEC registered investment advisor or fund is very strongly preferred.
Seniority level
- Executive
Employment type
- Full-time
Job function
- Legal
- Industries: Staffing and Recruiting
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Deputy Chief Compliance Officer employer: SkyWater Search Partners
Contact Detail:
SkyWater Search Partners Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Deputy Chief Compliance Officer
✨Tip Number 1
Make sure to network with professionals in the investment management and compliance sectors. Attend industry events or webinars where you can connect with individuals who might have insights into the firm or the role.
✨Tip Number 2
Research the specific compliance challenges faced by private investment firms today. Being knowledgeable about current trends and issues will help you stand out during discussions with the recruiter.
✨Tip Number 3
Prepare to discuss your experience with the Investment Advisors Act of 1940 and SEC filings in detail. Be ready to provide examples of how you've navigated compliance issues in previous roles.
✨Tip Number 4
Consider reaching out directly to the job poster, as mentioned in the job description. A well-crafted message expressing your interest and qualifications can make a strong impression.
We think you need these skills to ace Deputy Chief Compliance Officer
Some tips for your application 🫡
Understand the Role: Make sure to thoroughly understand the responsibilities and requirements of the Deputy Chief Compliance Officer position. Familiarize yourself with the Investment Advisors Act of 1940 and SEC filings, as these are crucial for the role.
Tailor Your CV: Customize your CV to highlight relevant experience in compliance, particularly with SEC registered investment advisors or funds. Emphasize your knowledge of compliance regulations and any leadership roles you've held.
Craft a Compelling Cover Letter: Write a cover letter that showcases your passion for compliance and your understanding of the investment management industry. Mention specific experiences that align with the job description and demonstrate your suitability for the role.
Follow Up: After submitting your application, consider sending a polite follow-up message to express your continued interest in the position. This can help keep you on the recruiter's radar.
How to prepare for a job interview at SkyWater Search Partners
✨Showcase Your Regulatory Knowledge
Make sure to highlight your deep understanding of the Investment Advisors Act of 1940 and SEC filings. Prepare specific examples from your past experiences that demonstrate your expertise in these areas.
✨Demonstrate Leadership Skills
As a Deputy Chief Compliance Officer, you'll need strong leadership abilities. Be ready to discuss how you've successfully led compliance initiatives or teams in previous roles, showcasing your ability to influence and guide others.
✨Prepare for Behavioral Questions
Expect questions that assess your problem-solving skills and ethical decision-making. Use the STAR method (Situation, Task, Action, Result) to structure your responses and provide clear, concise examples.
✨Research the Firm
Familiarize yourself with the private investment firm’s mission, values, and recent news. This will not only help you tailor your answers but also show your genuine interest in the position and the company.
