Chief Compliance Officer - Nationwide

Administration · Sausalito, California
Department Administration
Employment Type Full Time
Minimum Experience Experienced

About the Firm

 

At Aperio Group, our strategies are designed to put our clients’ and their clients’ interests at the center of our investment advice; to minimize costs and taxes; and to incorporate each client’s unique environmental, social, and governance (ESG) preferences. We are a purposefully growing quantitative/index-tracking investment management firm specializing in managing customized equity portfolios tax efficiently.

 

We recognize that our competitive advantage starts with our people and our culture. At Aperio, we work hard and move quickly as a well-coordinated, collaborative team whose exceptional people are focused on providing extraordinary client service. Our firm seeks to build a workforce that is as diverse in experience, perspective, and culture as the clients with whom we aspire to work. We are looking to add amazing people to our team who will bring diversity across many lines, including race, ethnicity, religion, sexual orientation, age, marital/family status, disability, gender identity, sex, and country of origin.

 

Our headquarters is in Sausalito, California, only one block from the beautiful harbor. It’s a short, 20-minute drive from much of San Francisco. We are looking for talented individuals in the San Francisco Bay Area as well as nationwide as a remote opportunity. If not local, when travel is permitted, team members are expected to visit the office periodically for training and to work with the core onsite team. If you are looking for an opportunity to grow and contribute in a fun, industry-disruptive, fast-paced environment, Aperio is the place for you.

 

APERIO GROUP, LLC IS COMMITTED TO ATTRACTING, RETAINING, ENGAGING, AND DEVELOPING A POOL OF TALENT THAT IS DIVERSE ALONG MANY DIMENSIONS. WE SEEK TO LEVERAGE THESE DIVERSE EXPERIENCES, BACKGROUNDS, AND VIEWPOINTS TO BEST SERVE THE NEEDS OF OUR CLIENTS.

 

Legal and Compliance at Aperio

 

Aperio is a Securities and Exchange Commission–registered investment adviser. Our Compliance Department protects Aperio’s reputation and provides advice to the business focused on ensuring the protection of our clients’ best interests. The department operates in a dynamic environment in which the team focuses on understanding the evolving business strategy as well as advising on the impact of regulation in our business, with the objectives of:

 

  • Actively participating in business decisions to champion our clients’ interests and assist our colleagues in translating compliance into their daily work and decision-making;
  • Putting clients’ interests at the center of everything we do;
  • Cultivating and enhancing Aperio’s compliance culture;
  • Providing thought leadership regarding the impact and implementation of regulation on our business; and
  • Developing and fostering excellence within the Compliance Department.

 

In conjunction with Legal, the Compliance team oversees Aperio’s compliance with applicable laws and regulations and is responsible for, among other things, establishing legal and compliance policies and procedures that meet applicable regulatory requirements; testing the effectiveness of those policies and procedures; overseeing regulatory matters; and providing compliance training.

 

Position Description

 

We are looking for an experienced, highly organized and energetic Chief Compliance Officer to lead Aperio’s Compliance team. This is an excellent opportunity to continue to build a career in legal and compliance as part of a high-caliber team.

 

The Chief Compliance Officer will be a key member of the senior management team within Aperio. She/he will report to the Chief Operating Officer and partner with the Senior Legal Counsel, who oversees our Legal Department. This high-profile role will have direct contact with management, colleagues, clients, and external vendors.

 

Duties and Responsibilities

 

The successful candidate will provide day-to-day and strategic leadership and management of the Compliance Department, overseeing Aperio’s compliance with SEC rules and regulations, securities law (especially the Investment Advisers Act of 1940 and the Investment Company Act of 1940), ERISA requirements, other applicable laws and regulations, and relevant Aperio policies to effectively monitor and manage regulatory compliance risk.

 

The successful candidate will be able to effectively manage compliance risk as follows:

 

  • Continuously enhance and manage the compliance framework for Aperio, including but not limited to policies and procedures, compliance-related projects, filings, calendar items, testing, and Code of Ethics–related tasks, including personal trading matters and administration of our automated compliance system;
  • Ensure regulatory and policy requirements and procedures are embedded within the business teams and technology systems;
  • Track and understand the changing regulatory environment to ensure policies, procedures, and key stakeholders are kept current;
  • Perform a regular assessment of the state of the overall compliance program, lead compliance risk assessments and mitigation efforts, act as the firm’s official liaison with its regulator (SEC) and independent compliance risk auditors;
  • Establish standards for compliance training programs tailored to the realities of Aperio, its business and clients, and each type of job or team within the firm;
  • Represent the firm at client/prospect due diligence meetings;
  • Review and approve marketing materials;
  • Evaluate and advise on new strategies, products, and markets based on predefined risk-based rules;
  • Demonstrate the ability to adapt to change in a dynamic and often fast-paced work environment with multiple deadlines;
  • Build credibility both internally and externally;
  • Actively embrace technology and deploy and make effective use of it to support and improve both your and the department’s effectiveness; and
  • Perform other duties or projects, as assigned.

 

Required Skills/Experience

 

  • Eight-plus years of legal, regulatory, or compliance experience in the financial services industry, preferably with either a law firm or an SEC–registered investment adviser.
  • Proficiency about financial regulations that relate to an asset management firm and the desire to deepen that knowledge to lead a highly efficient compliance team.
  • Proactive approach to business issues that enables you to discern areas of improvement and enhancement including the automation of processes and effective management reporting.
  • Capacity to effectively and proactively identify and manage the impacts of emerging and existing regulations and laws.
  • Ability to identify and analyze complex regulatory issues or legal exposures and their effect on the firm’s business, to solve problems, and to maintain a practical approach.
  • Adept at generating practical perspectives on the applicability of laws, rules, and regulations across businesses and processes and how they translate into operational requirements.
  • Independent and impartial, so neither coercive nor hardline but balanced and exhibiting both high EQ and high IQ.
  • Client focused with strong client-facing skills.
  • Bachelor’s degree or equivalent combination of experience and education required; JD from an accredited law school preferred.
  • Excellent communication, judgement, and business partnership skills.
  • Ability to make decisions and exercise discretionary authority is necessary to successfully fulfil the role.

 

Other Desirable Skill/Abilities

 

  • Ability to understand, or be quickly able to learn, the business model, interpret business information, and translate it into a strategy for the Compliance Department and the type of legal and compliance appropriate to Aperio both now and in the future.
  • Understanding of business operations, processes, and underlying compliance risk exposures, as well as of how to practically translate regulatory requirements into management actions. Must be able to think through, present, and discuss trade-offs in terms of business risk.
  • Experienced and respected manager, with the talent to address difficult issues honestly, directly, constructively, and kindly with an ability to prioritize and make difficult decisions.
  • Understanding of your strengths and weaknesses and experience in complementing them within a team.
  • High level of humility and integrity.
  • Ability to communicate and follow up effectively and professionally with other business departments.
  • Outstanding verbal and written communications skills with the ability to listen, articulate positions, and influence outcomes beyond direct areas of ownership.
  • Proficiency in communicating clearly and concisely, and translating compliance concepts and risk into business and plain English language.

 

 

California Residents: The California Consumer Privacy Act (CCPA) requires us to inform job applicants about the categories of information Aperio collects about you and the purposes for which Aperio will use your information. For personal information subject to the CCPA, please see this Privacy Notice, which contains required disclosures and details information that we collect as a part of our job application process.

 

Applicants: Please be aware and cautious about scams and requests for information from sources claiming to be affiliated with or working on behalf of Aperio Group. Be suspicious of anyone contacting you from an email domain other than “aperiogroup.com” or “app.bamboohr.com,” or calling you about a job opportunity if you have not sent a resume to us. We will never ask for personal or background check information directly over email or the telephone before providing a formal job offer, and we only use secure methods to request and receive such information. If you are concerned about the legitimacy of a communication or request, we suggest that you call our main line 415.339.4300 to verify.

 

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  • Location
    Sausalito, California
  • Department
    Administration
  • Employment Type
    Full Time
  • Minimum Experience
    Experienced