Chief Compliance Officer
MLA Global - San Francisco, CA

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The Chief Compliance Officer (CCO) for RS Investments will report directly to the RS Investments Chief Operating Officer. The primary responsibility of the CCO is to ensure the organization's activities comply with all pertinent legal and regulatory requirements through the development and administration of written policies and procedures. The CCO will work closely with senior management to provide advice, guidance, recommendations, and solutions to a wide range of compliance, legal and regulatory matters, including Broker-Dealer and advisory compliance issues. The CCO will also serve as a key member of the RS Investments Management Committee. In addition, this person will lead a team of 7-10 compliance professionals. The CCO will:

Establish the strategic direction for and manage all aspects of the compliance function
Provide oversight and development of a robust and sustainable compliance program, managing processes to establish, maintain, review, test and modify policies and procedures designed to achieve compliance with applicable state and federal laws and rules, including SEC and FINRA requirements, as well as meet or exceed industry best practices
Advise senior management and internal business partners on the regulatory and compliance implications of products, transactions, strategies and structures associated with RS Investments
Ensure strong communication on key issues with other support areas within the organization
Manage relationship between compliance and the businesses emphasizing stewardship and service in support of business objectives
Establish effective working relationships across all levels of the organization and a commitment to identify and implement integrated solutions across organizational boundaries
Manage complex issues requiring aptitude in balancing business objectives with effective and efficient solutions to manage compliance risks
Monitor industry developments to identify current issues, trends, best practices and "red-flags"
Provide training and guidance regarding changes in regulations and company procedures
Participate actively in committees and other governing bodies related to business
Provide regular reporting on compliance matters to RS Investments Executive and Management Committees, its corporate Board of Directors and the Board of Trustees of its mutual fund complex
Responsible for departmental budget and expense management
Oversees the coordination of information requests and exams from regulatory agencies


Extensive experience, with a minimum of 15 years in the investment management industry, with a focus on compliance and regulatory issues
J.D. strongly preferred
In-depth industry and regulatory knowledge of the investment advisory business, including SEC, ERISA and FINRA requirements
Familiarity with offshore activities, including U.K. FSA requirements, Singapore MAS requirements and Hong Kong SFC requirements
Excellent interpersonal and relationship building skills, a high degree of professionalism, and the ability to manage in a complex and dynamic environment
Capable of engaging business partners, constituencies and stakeholders at all levels and engendering trust
Demonstrated ability to manage complex issues requiring aptitude in balancing business objectives with effective and efficient solutions
Proactive, result-oriented; the ability to deal with multiple issues simultaneously and to handle ambiguity and accountability while not always being in direct control of all areas involved
Experience in presenting to senior management and Mutual Fund Boards of Trustees
Strong analytical and problem-solving skills
Prior management experience and proven leader with the ability to engage, motivate and inspire employees and retain talent