Chief Compliance Officer

Remote

Job Reference #1845

Our client, an international investment management firm with $100M in AUM in their hedge fund platform, is seeking an enthusiastic and reliable Chief Compliance Officer to join their team. This position will report to the General Counsel and CEO.

Key Points

  • GC is bifurcating his role so this will be the first fully dedicated CCO hire
  • Firm is growing rapidly and they are adding this position due to their continued growth 
  • They recently raised series A funding at over a $300M valuation 
  • Full ownership and responsibility for the compliance program 
  • Opportunity to work in a fully remote capacity (individual can go into the NYC office if they chose)

Responsibilities

  • Develop and manage the firm’s compliance program, policies and procedures
  • Ensure implementation of policies and procedures through regular reviews and tests
  • Oversee all regulatory examinations, reporting and field any inquiries
  • Collaborate with outside vendors and consultants to ensure compliance 
  • Stay current on regulations and make applicable adjustments for the Firm
  • Monitor marketing materials and other firm-wide communication for compliance
  • Collaborate with the legal counsel for fund and investor compliance matters
  • Coordinate board meetings and prepare and manage presentation materials

Qualifications

  • 7+ years of relevant compliance experience at an investment advisor 
  • Strong knowledge and understanding of SEC and other regulator rules and regulations
  • Knowledge of and experience with the Investment Advisors Act of 1940
  • The ability and confidence to communicate effectively and with all levels of management and board members
  • A positive mindset and approach to compliance tasks and issues

Compensation:  $250-400k all-in depending on experience