Chief Compliance Officer (CCO)

Chief Compliance Officer (CCO)

About the Company

Expanding asset management firm

Industry

Financial Services

Type

Privately Held

About the Role

The Company is seeking a Chief Compliance Officer to join their team. The successful candidate will be responsible for overseeing all aspects of the compliance program, including managing compliance workflows, regulatory filings, and engagement. This role involves maintaining a strong culture of compliance, ensuring that policies, procedures, systems, and controls are in place to support regulatory requirements, and partnering with the Executive Committee to identify and mitigate compliance risks. The Chief Compliance Officer will also be tasked with monitoring the effectiveness of compliance processes, recommending and implementing enhancements, and maintaining proactive relationships with regulators. Applicants for the Chief Compliance Officer position at the company should have demonstrable experience in managing compliance at a Registered Investment Advisor, with a strong knowledge of 40 Act and 40 Company Act compliance management. Direct liaison with the SEC is essential, and experience with NFA, Derivatives, and Sub-Adviser oversight is a plus. The role requires a Bachelor's degree, with a JD being preferred, and a proven operational compliance focus. The ideal candidate will have a hands-on approach and be capable of working independently in a fast-growing, dynamic environment. Responsibilities also include providing compliance support for new products and business initiatives, conducting compliance audits, and developing and delivering compliance-related training.

Hiring Manager Title

Executive Committee

Travel Percent

Less than 10%

Functions

• Finance