Job Description
Chief Compliance Officer
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A SEC-registered investment advisory firm is seeking a Chief Compliance Officer to lead its compliance program and serve as a key advisor to senior leadership.
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Responsibilities:
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- Own the firm's compliance program and policies.
- Lead SEC examinations, regulatory inquiries, and annual reviews.
- Oversee regulatory filings, testing, disclosures, and compliance monitoring.
- Manage Code of Ethics, marketing compliance, conflicts, and related programs.
- Advise senior leadership on regulatory risk and compliance matters.
- Support M&A and continued business growth.
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Ideal Background:
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- 10+ years of investment management compliance experience.
- 5+ years within an SEC-registered RIA.
- Prior CCO, Deputy CCO, or senior compliance leadership experience.
- Strong knowledge of the Investment Advisers Act.
- Experience with SEC examinations.
- RIA, private wealth, or UHNW experience preferred.
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