Investment Advisor

Chief Compliance Officer, New York, NY

CCO (New York, NY): Our client, an Investment Advisor with north of $4 billion in AUM, is looking to bring on a talented compliance professional to join their team in NYC in a newly created position.  The individual will be tasked with overseeing the compliance function of two of the firm’s underlying trusts; this new hire will be brought on to consolidate the compliance functions into one and tasked with harmonizing the compliance programs for the underlying trusts.  This is an exceptional opportunity for someone with a strong background in mutual funds or 40 Act compliance to join a growing and robust organization in a unique capacity. 


Key Points: 

  • Senior management consists of pioneers in the space and have a tremendous amount of knowledge 
  • Firm has been around for several years and has hit a “growth spurt” due to their success and track record
  • Individual will have the opportunity to develop and harmonize the compliance programs of two underlying trusts
  • Company offers a great work/life balance 


  • Oversee strategic initiatives for the two compliance programs including synchronizing them, collecting certifications, developing and enhancing the programs’ effectiveness in accordance with regulatory expectations and evolving best practices; conduct due diligence on advisors and other service providers to the trusts 
  • Conduct annual review of the trust’s Compliance program and program of its service providers; meet with the independent Trustees of the Trust and their counsel
  • Prepare and present the annual compliance report to the Board of Trustees; oversee the Trust’s service providers (ensuring each provider has applied effective compliance programs, understand the operations and risks of each provider, and maintain a relationship with service provider’s compliance personnel)
  • Maintain, review, test and modify the written compliance policies and procedures to prevent violations of the Federal Securities Laws; administer and test compliance policies and procedures
  • Assist the General Counsel in reviewing fund documents, prospectus and other contracts; interface with various team members and coordinate responses to various inquiries from service providers, clients and clients’ counsel


  • 7+ years of related compliance experience with knowledge of the 1940 Act, exchange-traded funds, and/or mutual funds
  • Ability to communicate effectively with internal and external parties 
  • Demonstrated ability to build upon and lead a compliance program 
  • Ability to maintain strict confidentiality of company and client affairs; must be able to work efficiently in a team-based environment 
  • J.D. required

Job Reference #1379

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