Our client, an established investment management firm, is seeking a motivated individual to join their legal and compliance team as the Deputy CCO. This is the first hire under the General Counsel and Chief Compliance Officer with the eventual hope this person can take over as CCO in the future.
- Firm is growing rapidly and adding this position due to complexity and increased AUM
- This will be the first dedicated hire under the CCO, offering exposure to all areas of the compliance program
- The plan is for this person to eventually take over as CCO – the timeline on that is undetermined and will depend on the person
- Location: this person can be based in SF, NYC or West Palm Beach, FL
- Work from home: policy is flexible – currently most employees come to the office at least every Wednesday.
- Assist with various compliance functions including supporting SEC and other regulatory filings and code of ethics and compliance manual implementation.
- Conduct due diligence on alternative data and research providers
- Monitor firm trading activity to ensure compliance with U.S. ownership reporting obligations, European short selling reporting laws, as well as to detect suspicious activity and trade errors
- Serve as a point of contact with investment personnel on legal and regulatory matters (e.g. questions pertaining to MNPI, securities filings)
- Top educational credentials
- 3-6 years of related compliance experience from either a hedge fund, other investment manager, SEC, broker dealer or law firm
- Must have common sense and be comfortable making decisions that require the exercise of judgement