Global Asset Manager

Chief Compliance Officer, New York, NY

Chief Compliance Officer (New York, NY):  Our client, a global asset manager with over $50B in AUM, is seeking a CCO to join their US office and oversee the firm’s compliance program from their NYC office.  The team seeks a strong, qualified compliance professional with an entrepreneurial attitude to effectively sit in this seat.  The CCO will have the attitude that no aspect of the compliance program is too far below him/her to touch.  As part of this 10-person office, the CCO will be tasked with responsibilities that will likely fall both above and below their paygrade due to the nature of the “start-up” feel. 


Key Points:

  • Opportunity to work in a lead compliance position within an extremely reputable firm’s small, entrepreneurial NYC team
  • Ability to work in a very stable platform and in their newest global office. 
  • Firm hires extremely smart and humble humans
  • Position will offer a mix of work that is steady and challenging
  • Ability to work for an international company with travel to Europe 4-6 times/year  


  • Serve as Chief Compliance Officer addressing any regulatory issues that arise with regulators and maintaining US specific regulatory filings (PF, ADV, etc.)
  • Run the entire US compliance program which entails serving as the AML officer, handling sanction policy and reporting, and training staff of shared global personnel
  • Maintain and update the compliance program, manual and processes for changes in rules, regulations and internal policies for the firm
  • Review marketing materials including market updates, research papers, RFPs, and changes to the US website
  • Coordinate with internal and external counsel to manage various legal matters for all running business development related activities requiring local and state licenses/registrations
  • Conduct quarterly visits to the firm’s global offices implementing training around rules and regulations


  • 8-12 years of related compliance experience from an institutional asset manager or RIA
  • Ability to work in an entrepreneurial environment
  • Understanding of equity and fixed income products; knowledge of quantitative strategies is helpful
  • Proficient knowledge of the Investment Advisers Act, the Investment Company Act, FINRA rules and other regulations
  • Understanding of Uni-Banco rules and regulations to conduct compliance training for their shared personnel 
  • Desire and ability to travel to Europe 4-6 times/year
  • Strong educational background
  • Series 24 (or 26) preferred but not required if the individual is willing to obtain it

Job Reference #1433

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