Asset Manager

Deputy Chief Compliance Officer, New York

Deputy Chief Compliance Officer (New York, NY): Our client an asset manager with over $25 billion AUM is seeking a senior compliance professional to join their team as Deputy CCO.  This person will work closely with the CCO and manage a team of at least 6 professionals.  This is an exciting opportunity to join an established business that is continuing to grow in a true leadership role.  


Key Points: 

  • Position is a true leadership role internally and will manage at least 6 staff to start 
  • This person will be tasked with building out the program as they see fit – they will help design the program going forward, implement new policies and technology and work closely with the partners of the firm 
  • Compliance is an integral part of the business and is involved in all high level decisions 
  • This hire will likely have the opportunity to take over as CCO in time 


  • Periodic and ongoing assessment of the firm’s compliance program; develop and implement the firm’s compliance policies and procedures and compliance monitoring program
  • Mentor and manage a 6-person compliance team while working closely with the CCO to manage the compliance program; oversee and assist in the preparation of regulatory filings, MNPI management, marketing material review, portfolio compliance, Code of Ethics oversight, AML, information security and compliance testing
  • Review investor communications, promotional materials and fund documentation; assist with preparation for internal and external audits, regulatory examinations and investigations
  • Manage the firm’s training program, conducting training sessions and design, lead and complete multi-disciplinary projects; interact with and provide advisory compliance support to investor relations, business development and operational professionals
  • Monitor ongoing legal and regulatory developments; implement new compliance initiatives as law, compliance and business circumstances evolve


  • 12+  years of relevant investment advisory compliance experience; JD is required
  • Deep expertise and excellent judgement across compliance areas; thorough understanding of both the investment management industry and U.S. and international securities laws applicable to private funds, including the Investment Advisers Act of 1940, the Commodity Exchange Act, the Investment Company Act of 1940 and ERISA
  • Must be a highly organized and proactive, able to work independently on several projects while maintaining an appropriate level of transparency with the CCO and escalating matters as necessary
  • Experience managing members within compliance is a plus – ability to continue to build and develop a team  

 Job Reference #1562

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