MDC Financial Research always welcomes qualified analysts to submit resumes. We are considering launching new research products beyond our Event-Driven Legal℠ service in areas where we believe markets are the least efficient.
Chief Compliance Officer/Chief Financial Officer (CCO/CFO)
This position will oversee the Compliance and Accounting functional areas for a small but fast-growing State-Registered Investment Advisor. The ideal candidate will have a minimum of three-years prior experience as a Chief Compliance Officer (CCO) for either an SEC-registered or State-registered Investment Advisor. This position offers flexible hours.
- To administer a complete compliance program including: Registrations, Record-Keeping, Policy-Making, Supervision, and Annual Meetings.
- To ensure that the Investment Advisor is 100% compliant with all State and Federal Laws in all Jurisdictions at all times.
- To oversee the Accounting function for an Investment Advisor that only provides research and does not maintain custody of any client assets.
Qualifications and Experience
- At least a Four-year University Degree.
- Excellent working knowledge of the Regulatory environment including all relevant Acts and Statutes.
- Experience with the IARD and CRD systems.
- Prior experience with Intuit QuickBooks is a plus.
- Basic familiarity with generally-accepted accounting principles (GAAP).