A multi-strategy investment firm is seeking a senior compliance professional to oversee its established compliance program. This is a hands-on role with broad responsibility across compliance and legal matters, working closely with senior leadership and serving as a key advisor to the business. The firm has a stable, experienced team and a strong existing compliance infrastructure, providing the incoming CCO with the resources to effectively manage the function while continuing to enhance the program over time. This opportunity is well suited for someone who can operate independently, exercise strong judgment, and take ownership of the firm’s day-to-day compliance needs.
Responsibilities
- Lead and manage the firm’s compliance program across funds and strategies
- Maintain policies, procedures, and key compliance documentation
- Oversee regulatory filings and reporting
- Manage core compliance functions (e.g., trade surveillance, communications monitoring, AML/KYC, best execution)
- Conduct testing, audits, and ongoing program enhancements
- Monitor regulatory developments and implement updates
- Support legal matters including fund formation, offering materials, and agreements
- Assist with transactional work and coordinate with external counsel
- Review and negotiate various agreements
- Partner with internal teams and deliver compliance training
- Support regulatory inquiries and governance matters
Qualifications
- J.D. required with 10+ years of compliance experience within a hedge fund
- Ability to operate independently and build/manage a compliance program
- Strong communication skills and sound judgment
- Multi-asset class experience
- Familiarity with global regulations
Compensation: $200-350K base + bonus (no additional equity or carry awards)