Deputy Chief Compliance Officer

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Empowering Financial Futures.

For more than 65 years Glenmedes independent ownership innovation and unwavering commitment to our clients have made us a trusted partner for private wealth endowment & foundation and investment management clients.

Our people are invaluable. Through a team-oriented environment your knowledge expertise and varied backgrounds contribute to thoughtful innovation. Our culture fosters opportunities for continuous career growth and development in all areas of the organization. Working at Glenmede you will experience the infrastructure and resources of a large firm combined with the client and employee focus of an independently owned boutique.

This position will operate in a hybrid work environment 3 days per week in the office. (Philadelphia PA).

OVERVIEW:

We are seeking an experienced Deputy Chief Compliance Officer to support and strengthen our enterprise-wide compliance program across SEC registered investment advisory activities including as advisor to a mutual fund complex and an OCC regulated trust company. This is a senior leadership role for a compliance professional who thrives in complex highly regulated environments and enjoys partnering closely with business leaders legal teams and regulators.

The Deputy Chief Compliance Officer will work alongside the Chief Compliance Officer to help oversee regulatory compliance examination readiness policy governance and issue management. This role provides meaningful influence visibility and the opportunity to help shape a mature well resourced compliance function.

RESPONSIBILITIES:

Regulatory Leadership

• Support firmwide compliance with SEC and OCC regulatory requirements.
• Serve as a senior advisor on regulatory interpretation risk assessment and control design.
• Monitor regulatory developments and assess impact across advisory fiduciary and investment management activities.

OCC & Trust Company Oversight

• Help manage compliance obligations associated with OCC supervision and fiduciary standards.
• Support OCC examinations including preparation examiner engagement and follow-up remediation.
• Assist with governance expectations documentation standards and escalation practices applicable to OCC regulated entities.

SEC Compliance Program Support

• Oversee and support key components of the SEC compliance program including:

• Advisers Act policies and procedures
• Conflicts of interest identification and mitigation
• Marketing and advertising review
• Code of ethics and personal trading oversight

• Assist with SEC examinations inquiries and ongoing program enhancements.

Policies Procedures & Controls

• Help maintain and enhance compliance policies and procedures to ensure they are risk based practical and aligned with business practices.
• Review and approve compliance guidance disclosures and internal standards.

Issue Management & Risk

• Lead or support escalation and resolution of compliance issues.
• Partner with Legal Risk Management and Internal Audit on issue tracking and remediation.
• Contribute to compliance risk assessments and ongoing monitoring activities.

Leadership & Collaboration

• Provide leadership mentorship and direction to members of the Compliance team.
• Act as a delegate for the Chief Compliance Officer as needed.
• Collaborate closely with senior management and business partners across the organization.

REQUIRED QUALIFICATIONS:

• Bachelors degree required; JD or advanced degree strongly preferred.
• 812 years of experience in compliance legal regulatory or risk management roles within financial services.
• Strong working knowledge of SEC investment adviser regulation.
• Experience supporting regulatory examinations and interacting with regulators.

PREFERRED QUALIFICATIONS:

• Excellent judgment communication skills and ability to operate in a senior advisory capacity.
• Experience in an OCC regulated environment or with trust company operations.
• Background in wealth management trust services or investment management.
• Priorpeoplemanagementor senior compliance leadership experience.

Headquartered in Philadelphia PA Glenmede has 9 office locations in the US. For further information please visit.

Our Benefits Overview:

-Competitive health and welfare benefits including company HSA contributions

-Numerous voluntary benefit choices available

-Superior 401k match

-Tuition reimbursement

-Company subsidized commuter benefits

-Generous paid time off including parental leave

-Plus more!

Glenmede is an equal opportunity workplace and is committed to ensuring equal employment opportunity without regard to any legally protected characteristics. To learn more about Glenmedes policy on equal employment opportunity please visit We are not seeking agency assistance with this role. No agencies third parties or phone calls please. Glenmede is not accepting unsolicited resumes from search firms. All resumes submitted by search firms to any employee at Glenmede via-email the Internet or directly without a valid written search agreement will be deemed the sole property of Glenmede and no fee will be paid in the event the candidate is hired by Glenmede.

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