Chief Compliance Officer

Remote

Job Reference #1803

Our client, a successful alternative investment manager with over $2B in a diverse set of assets, is seeking a driven, entrepreneurial Chief Compliance Officer to join their team. This is a rare opportunity to join a complex business in a strategic seat where there is a solid framework and an opportunity to define a path ahead for the firm’s compliance program.  The role reports into the General Counsel who will be carving out the compliance portion of his role for this new hire.

Key Points

  • Opportunity to work fully remote with quarterly trips to Boston and annual trips to California, New York, and Georgia
  • First fully dedicated CCO hire for the entity
  • Highly strategic role with heavy help from third party consultants/resources for day to day compliance tasks

Responsibilities

  • Develop, review and update firm compliance policies and procedures; keep abreast of compliance trends and adjust compliance policies as needed
  • Prepare regulatory exams and filings
  • Review and monitor marketing materials and other communications, internal and external, to ensure compliance
  • Proactively identify and manage potential conflicts
  • Draft and review agreements and communications with external parties
  • Collaborate with outside compliance consultants
  • Coordinate and oversee employee compliance training; advise employees on all compliance matters as needed

Qualifications

  • 6-12 years of relevant compliance experience from an investment manager
  • Knowledge of the Investment Advisers Act of1940, the Investment Company Act of 1940, the Securities Act of 1933, and Securities Exchange Act of 1934
  • Acute attention to detail and strong organizational skills required
  • Ability to inform and influence decisions at senior levels with a solutions-oriented mindset is imperative
  • Ability to work independently in a fast-paced environment handling new projects and responsibilities with an ownership mentality in their work