Chief Compliance Officer

A company is looking for a Chief Compliance Officer to lead and scale its compliance program while ensuring adherence to regulatory expectations.

Key Responsibilities

Own and lead the compliance program, partnering with the General Counsel and external resources

Track, analyze, and interpret regulatory changes, providing real-time guidance to internal stakeholders

Draft and implement compliance policies and procedures, conduct training, and oversee compliance onboarding and offboarding for clients

Required Qualifications

Extensive compliance experience within SEC-registered investment advisers and / or FinTech environments

Deep knowledge of the Investment Advisers Act of 1940 and related SEC rules and filings

Direct experience with 13F filings, trade reconciliation, mock audits, and SEC examinations

Experience in scaling compliance programs in high-growth or technology-forward organizations

Strong leadership skills to guide senior management and collaborate cross-functionally