Asset Manager

Chief Compliance Officer, Connecticut

Chief Compliance Officer (Connecticut):  Our client, an asset manager with over $3b in AUM is seeking a CCO.  This is a unique opportunity to join a growing firm in a newly created position. 


Key Points: 

  • First time, fully dedicated CCO hire 
  • Position reports the Board of Directors 
  • Person will have autonomy over the program 
  • Firm is growing rapidly


  • Respond to regulatory investigations and inquiries, coordinate efforts related to audits, reviews, and examinations; lead annual compliance reviews, internal risk assessments, and manage all regulatory audits
  • Conduct compliance training and annual compliance program training meetings; create, manage and improve the compliance management platform
  • Develop an annual plan of activities based on high-risk compliance issues needing improvement; maintain the firm’s policies and procedures
  • Consult with the General Counsel and Board of Directors of broker dealer on matters pertaining to legal interpretation
  • Maintain daily, monthly, quarterly and annual compliance schedules and documentation; advise management on new/existing regulations and how they affect the firm


  • Minimum of 7 years prior advanced compliance experience; JD is preferred but not required
  • Experience in real estate finance strongly preferred; active Series 24 (or equivalent)
  • Proven track record of identifying, solving and preventing compliance issues; Demonstrated ability to effectively communicate and provide guidance to various groups
  • Excellent attention to detail and strong analytical and interpretation skills; experience with implementing change and moving projects forward, while building and maintaining key relationships 

Job Reference #1382

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