Deputy CCO with direct path to become CCO

New York, NY

Job Reference #1797

Our client, a successful private equity firm with a long track record, is seeking a talented compliance professional to join their team.  This is a newly created role to help the current legal and compliance team offload the compliance program onto an inspired and competent new hire with the explicit intent of transitioning this person to CCO in the next year.  This new hire will need to be ready to roll up their sleeves to learn the inner workings of the firm’s investment philosophy and compliance program.  This is an exceptional role for someone that is mid-career and striving to get to the next level.  The firm boasts an impressive track record as well as a positive, helpful, and collaborative work culture.

Key Points

  • Newly created position allowing the firm to create the role around the new talent and allowing the hire to make an impact on the business
  • Hiring manager is exceptional – intelligent, down to earth, funny, engaging, levelheaded, and team-oriented – he will help this individual flourish
  • New hire will be given the proper support and institutional knowledge to lift out the compliance program and run it efficiently
  • Clear career trajectory to lead the firm’s entire compliance program and becoming the CCO of a $15B+ entity
  • Firm has a ton of flexibility with work from home policies; this new hire should expect/want to be in the office 3-4 days/week

Responsibilities

  • Manage the firm’s overall compliance program; spearhead initiatives around new compliance topics 
  • Review and approve external communications including marketing materials
  • Prepare regulatory filings and aid the firm in being “exam ready” for any future SEC exams
  • Serve as a resource for investment professionals and outside counsel; attend Investment Committee meetings
  • Conduct research with respect to compliance and regulatory issues; develop new compliance initiatives
  • Manage projects involving third-party services providers and management of vendor due diligence
  • Review and test of compliance processes and procedures 

Qualifications

  • 7+ years of compliance experience from a private equity fund (strongly preferred), venture capital firm, traditional asset manager, compliance consulting firm, or SEC
  • J.D. preferred but not required
  • Sincere desire to work in a compliance capacity and take over a compliance program
  • Proactive attitude and ability to integrate oneself into an organization is imperative to the success of this hire
  • Individual should be “solutions oriented” working towards the common goal of the firm
  • Demonstrated leadership skills