Assistant Vice President of Compliance

Posted: 09/30/2019
Full Time
Phoenix, AZ
Reporting to the Deputy Chief Compliance Officer (Deputy CCO), position is responsible for fulfilling the day-to-day responsibilities of the compliance program for CIM’s registered and non-registered advisers, as required by applicable statutory, regulatory and ethical requirements. 
Essential Functions:
  • Risk Assessment and Testing. Directing regular risk assessments of the activities and operations of assigned entities to establish or modify the components of the compliance program from time to time as appropriate, including:  1) Promulgating and revising the risk map and risk matrix, as necessary 2) Preparing and implementing a comprehensive compliance testing program based on the foregoing risk assessment 3) Performing testing based on the annual risk assessment
  • Regulatory Filings and Exams.  Responsible for drafting regulatory and/or federal filings, including the Form ADVs, Form PFs, Department of Treasury Surveys and any filings associated with CIM’s foreign activities; as well as, coordinating responses to regulatory exams and information requests.
  •  Lobbying Assessment.  Responsible for monitoring CIM’s activities with regard to lobbying and filing reports with state and local authorities, as necessary 
  •  Compliance-Related Projects.  Assisting with compliance projects related to data privacy, data destruction, new funds/vehicles, etc.   
  • Education/Experience Requirements:
  • Bachelor’s degree
  • Minimum 5 years’ experience in Investment Adviser compliance
  • Knowledge of legal and compliance terminology and concepts
  • Knowledge of Investment Advisers Act of 1940
  • Knowledge of Securities Exchange Act of1934
  • Technical Skill Requirements:
  • Proficiency in Microsoft Office including Word, Excel and Outlook
  • Proficiency with the Investment Adviser Registration Depository (IARD)
  • CIM does not accept unsolicited resumes from Agencies.  Any unsolicited resumes received from Agencies will be considered property of CIM and no fees will be due or paid.  If you wish to become an approved Agency with CIM or any of its Affiliates, please contact a member of the CIM Talent Acquisition Team.