Compliance Officer/Deputy CCO

New York, NY

Job Reference #1856

Our client, a successful investment management firm with over $5B in AUM, is looking to bring on a bright and motivated compliance professional to join their team, which is located in NYC. This new role will report to the Board of Directors of the firm while covering all aspects compliance activities alongside the CCO (outsourced) and will have the opportunity to move into the CCO position over time. On a day-to-day basis, this role will work collaboratively, hand-in-hand, with the CCO and the Corporate CFO.

Key Points

  • Direct path to assume the CCO role within approx. 2 years
  • Opportunity to design and implement the firm’s compliance infrastructure
  • Collaborative and respectful team environment
  • Opportunity to have a seat at the table and a say in house compliance will run on a go-forward basis


  • Build out, maintain and centralize the firm’s compliance program operations
  • Assist with periodic regulatory filings (Form ADV, Form PF filings, Lobby Registrations, etc.); oversee various compliance projects relating to the development and implementation of new compliance policies and procedures
  • Oversee and run the firm’s annual review, mock exams and regulatory inquiries
  • Review and monitor marketing materials and other communications, internal and external, to ensure compliance
  • Conduct research as it relates to emerging compliance and regulatory issues
  • Oversee, maintain and administer firm wide compliance manual, code of ethics and other compliance processes


  • 5-8 years of relevant experience within the alternative asset management space; legal training/experience is a plus
  • Excellent organizational and communication skills; must be highly detail- & process-oriented and exhibit a solutions-oriented mind-set
  • Comfortable managing multiple projects, proficient with compliance systems, and comfortable with a data driven environment  
  • The ideal candidate will be a team player capable of working collaboratively across multiple teams at all organizational levels

Compensation:  $150k – $250k base, up to $400k all in (dependent upon experience)