Chief Compliance Officer

June 11, 2021
Houston, TX
Job Type


Job Description

Responsible for the company's compliance policy and supporting program of education, monitoring and testing designed to ensure that the compliance policy is effective and functioning. Responsible to coordinate and participate with the Information Technology staff to oversee and monitor the effectiveness of the firm's cyber-fraud defensive measures. Responsible for the overall direction, coordination, and management of the firm's team staff members who from time-to-time support these efforts.


  • The Chief Compliance Officer (CCO) provides primary oversight and supervision to the requirement that Company adopt and implement written policies and procedures reasonably designed to prevent violation, by the firm and its supervised persons, of the Investment Advisers Act of 1940 and any rules adopted by the SEC under the Act.
  • The CCO leads the effort to develop and maintain appropriate policies and procedures and thereby oversees the final design/maintenance of the advisory services compliance program
  • The CCO chiefly administers the firm's compliance policies and procedures, with the objective of making sure the firm compiesy with the rules that apply to its operations.
  • As part of that effort, the CCO will work with senior corporate leadership to instill a culture of compliance, nurture an environment where employees understand the value of honesty and integrity, and encourage everyone to take compliance issues seriously.
  • On a regular basis, the CCO will engage in testing and audit procedures to assess the effectiveness of the firm in conforming to its stated compliance policies. On a day-to-day basis, the CCO works to prevent violations from occurring in the first place and, thus, prevent violations from causing harm to the firm, its investors, and market participants.
  • The CCO will review the firm's compliance-related policies and procedures annually for their adequacy and the effectiveness of their implementation.
  • The CCO is responsible to coordinate most incidental audit related items the apply to the company by virtue of its relationship to Cadence Bank as its parent company. This includes most risk assessment matters and specific bank-related regulatory initiative such as BSA/AML.
  • The CCO is responsible to coordinate with senior management to lead appropriate training efforts for the firm's employees to raise the level of general awareness and observance of compliance-related issues.
  • The CCO is responsible to act as the principal liaison with appropriate regulatory authorities on matters of administration and examination that arise. Coordination with outside legal counsel and consultants on matters of compliance will also be led by the CCO.


  • Competent and knowledgeable regarding the Investment Advisers Act of 1940 ("Advisers Act") and any rules adopted by the SEC under the Act.
  • Specific experience in previous roles of working as a firm's representative regarding the responsibilities described herein and in engaging in discussions with outside legal counsel, as well as regulatory authorities such as the SEC, FINRA, and State Securities regulatory authorities.
  • Excellent organizational, administrative, and communication skills with a proactive approach toward compliance with the intention of pursuing creative and effective means of accomplishing the firm's business goals while also conforming to regulatory compliance mandates.


  • Bachelor's degree (B.A. or B.S.) from four-year college or university, preferably with a degree in Finance, Business or other related field
  • Minimum of Seven to ten years related experience and/or training; or equivalent combination of education and experience.
  • Stable work history specific to financial industry regulatory compliance.

Certificates and Licenses

None required.

Supervisory Responsibilities

This job has no permanently designated supervisory responsibilities. However, in light of the testing activities included in the scope of responsibilities, it is expected that on an ongoing basis, employees in various areas of the firm will be assigned for periods of time to projects that will be supervised by the CCO. Therefore, the CCO will be expected to: 

  • Manage assigned employees during these project periods.
  • Be responsible for the direction, coordination, and evaluation of these employees during such asssignments.
  • Carry out such supervisory responsibilities in accordance with the organization's policies and applicable laws.
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