Investment Manager

Deputy Chief Compliance Officer, New York, NY

Deputy Chief Compliance Officer to become CCO (New York, NY):    Our client, an SEC registered RIA with over $15B in assets, is seeking a talented compliance professional to join their team in a newly created Deputy CCO capacity with the intent of becoming CCO in short order.  The firm boasts an impressive track record, has a stable base of institutional investors, and has grown steadily in AUM.  The firm’s current COO is holding the CCO title and is seeking to hire a fully dedicated compliance professional to initially act a Deputy CCO and oversee and augment the current compliance program, with a view to transitioning to the CCO role, continuing to report directly to the COO, after demonstrating exceptional capabilities and performance. This person will be managing a team of approximately 4-6 individuals. The Deputy CCO will be responsible for creating, updating, adopting and implementing written policies and procedures designed to prevent violations of the Investment Advisers Act of 1940 and all other relevant regulations, as well as handling the day to day compliance program.  Additionally, the Deputy CCO will be responsible for: managing the firm’s compliance program; conducting compliance training; drafting and executing compliance policies and procedures; reviewing marketing materials; assisting with KYC checks; and advising on any compliance related questions from the investment teams, as well as other ad hoc legal issues.  This person will also collaborate with the firm’s outside compliance consultant, and internal and external legal teams to continuously improve upon the firm’s compliance and other programs.  The firm is keen on hiring an individual with excellent business acumen and a willingness to work in a collaborative & solution driven environment. A potential candidate must have compliance experience with alternative investments and private funds (not registered investment companies), including private equity, commercial real estate, funds of funds, and public securities portfolios.  This person must have a J.D. and extensive knowledge of the Investment Advisers Act of 1940.  The candidate should have a minimum of 10 years of related RIA compliance experience and be willing to step in where needed, including substantive legal and compliance projects as well as day-to-day aspects of running a compliance program.  Previous relevant work experience within the SEC a plus.  Non-US regulatory experience is helpful as well.                        

·         Individual will ultimately be hired to become the first fully dedicated CCO for an established and successful business

·         Individual will be given the opportunity to build out his/her own staff 

·         Fund is expanding in investment strategies and assets offering a tremendous environment for learning and challenges

·         Firm offers a great quality of life

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