Careers

Photo © Crystal Ridge.

Current Opportunities

CHIEF COMPLIANCE OFFICER

Graydon Compliance Solutions, LLC (GCS) is seeking a Chief Compliance Officer (CCO) to join a growing team of driven, highly motivated compliance professionals.  The CCO is responsible for the implementation and ongoing oversight of the compliance program required by Rule 206(4)-7 of the Investment Advisers Act of 1940. The CCO, with ample professional support, will conduct risk-assessments and external audits, as well as Portfolio Testing, Email and Correspondence Surveillance, and Advertising and Social Media Reviews, etc.  The CCO will also interface directly with the U.S. Securities Exchange Commission.  Thus, the ability to work independently and handle multiple projects and clients simultaneously is essential.

REQUIRED SKILLS & EXPERIENCE

The successful candidate must have:

  • Bachelor’s Degree or equivalent
  • 8-10 years experience in Financial Services
  • Served as a CCO or in a compliance function for a Registered Investment Adviser (RIA)
  • Familiarity with the Investment Advisers Act of 1940
  • Strong organizational skills, attention to detail, and the ability to problem solve
  • Ability to handle multiple projects simultaneously
  • Familiarity with Regulatory Filings
  • Regulatory Examination experience, preferred (state or federal)

ABOUT GCS

Graydon Compliance Solutions, LLC, wholly-owned subsidiary of Graydon Head & Ritchey, LLP, was established in 2014 in response to the growing demand for personalized, comprehensive compliance solutions for Registered Investment Advisers (RIAs). We have a singular focus to service and address the regulatory compliance needs of the RIA community by offering a suite of outsourced compliance solutions tailored to meet each client’s unique requirements.

CONTACT

GCS is an Equal Opportunity Employer and we strongly encourage all interested candidates to apply.  Please address application materials and questions to:

Graydon Head & Ritchey
312 Walnut Street
Suite 1800
Cincinnati, OH 45202

Careers@Graydon.law