Compliance Officer

Deputy Chief Compliance Officer

Insight Global is seeking to hire an experienced and detail-oriented Deputy Chief Compliance Officer for a global investment firm focused in the fintech space. The Deputy CCO is to support the Chief Compliance & Legal Officer in overseeing and managing the firm's compliance program in accordance with the rules and regulations of the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). The Deputy CCO will play a key role in ensuring that the fund's operations comply with applicable federal securities laws, internal policies, and industry best practices. The Deputy CCO will have direct responsibility for day-to-day compliance functions and will be instrumental in integrating technology into compliance processes to increase efficiency, accuracy, and reporting capability.

Assist the Chief Compliance & Legal Officer in managing and executing the firm's compliance program under the Investment Advisers Act of 1940 and applicable FINRA rules.

Monitor and interpret regulatory developments affecting private funds, broker-dealers, and investment advisers.

Conduct periodic compliance testing, risk assessments, and forensic reviews to identify potential gaps or deficiencies.

Assist in the development and implementation of compliance policies, procedures, and controls.

Lead training sessions for employees on key compliance topics including Code of Ethics, AML, insider trading, and cybersecurity.

Implement, manage, and optimize compliance technology platforms to automate surveillance, reporting, and testing workflows.

Evaluate and integrate new compliance software solutions to improve oversight and reduce manual processes.

Review and help prepare regulatory filings such as Form ADV, Form PF and Form U4 / U5.

Assist with regulatory exams and inquiries from the SEC, FINRA, and other regulatory bodies.

Partner with Business Development and Finance and other departments to ensure firm-wide compliance.

Act as a deputy to the Chief Compliance & Legal Officer, assuming leadership responsibilities in their absence.

We are a company committed to creating diverse and inclusive environments where people can bring their full, authentic selves to work every day. We are an equal opportunity / affirmative action employer that believes everyone matters. Qualified candidates will receive consideration for employment regardless of their race, color, ethnicity, religion, sex (including pregnancy), sexual orientation, gender identity and expression, marital status, national origin, ancestry, genetic factors, age, disability, protected veteran status, military or uniformed service member status, or any other status or characteristic protected by applicable laws, regulations, and ordinances. If you need assistance and / or a reasonable accommodation due to a disability during the application or recruiting process, please send a request to HR@insightglobal.com.

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Skills and Requirements

Bachelor's degree required; JD, MBA, or other advanced degree a plus.

FINRA Series 7, 24 and 63 are required.

5+ years of compliance experience in the asset management industry, preferably with a private fund, hedge fund, or private equity firm.

Strong working knowledge of the Investment Advisers Act of 1940, FINRA rules, and related SEC regulations.

Experience with regulatory filings (Form ADV, Form PF, etc.) and FINRA systems (e.g., CRD, Firm Gateway).

Familiarity with compliance technology platforms such as Global Relay and Compliance Science (ComplySci) is a plus.