Senior Compliance Officer/Deputy CCO

santa monica, ca

Job Reference #1879

Our client, a hedge fund with over $3b in AUM is seeking a dedicated compliance professional to join their growing team.  This is an opportunity to join in a #2 capacity to the CCO with a path to take over as CCO in the future.

Key Points

  • Firm has been around for over 20 years with a very stable investor base
  • Position will be the sole US Compliance professional with the opportunity to take over as CCO
  • Exposure to all areas of the business with firm wide culture of compliance
  • Great quality of life – most days are 9am to 5 or 5:30pm
  • Work from home policy: it’s flexible, but they ideally would like someone in the office at least 2 days per week
  • Compensation: 150-180k base + bonus (170-240k all in), depending on experience


  • Oversee the Firm’s compliance policies and procedures and Code of Ethics (surveillance of employee personal trading, review of Code of Ethics requests, employee quarterly/annual transaction and holdings report obligations and intermittent attestations); maintain and manage third-party code of ethics compliance portal
  • Prepare and review various regulatory filings in the US and other international countries, such as Japan, Korea, Hong Kong and India (Form ADV, Form PF, CPO-PQR, 13F, 13H) conduct third party research compliancemaintaining sufficient logs and research vendor due diligence 
  • Project manage, execute, and maintain 206(4)-7 annual review and compliance testing requirements (email and trade surveillance and periodic forensic testing); develop testing procedures, implement testing, produce areas for improvement from testing results and prepare final reports for senior management
  • Manage the Firm’s compliance calendar, administer the Restricted List;  evaluate new regulatory requirements in the US and abroad and design approaches to handle any new requirements 
  • Implement and execute compliance tech system/infrastructure buildouts in coordination with the global team (ACA Compliance Alpha, trading systems,  etc.); conduct and assist US CCO with employee compliance trainings 
  • Collaborate with the IR/Marketing team to advise on various marketing and ongoing investor communications 


  • 4+ years of relevant compliance experience within the investment management field 
  • Highly motivated and hard-working
  • Team player
  • Interested in corporate transactions as they relate to the investment industry
  • Interested in Asia and global markets
  • Excited to learn

Compensation: $150-$180k base + bonus ($170-$240k all in), depending on experience