Our client, a prestigious investment management firm with more than $20b AUM, is seeking a hardworking and motivated senior compliance professional to join their team. Long term this hire will track to take over the CCO position.
Key Points
- Opportunity to learn under a talented GC/CCO with the long term plan to grow into the CCO seat
- Candidate will have ownership of running and updating the compliance program start to finish
- Firm has been around for over 15 years and has an incredibly sticky investor base
- The company offers a strong quality of life (normally 9-5:30pm), with limited nights and weekends
- Firm has a flat structure, offering every employee the opportunity to have a voice
Responsibilities
- Oversee and maintain the firm’s code of ethics
- Conduct annual filings including Form ADV and Form PF
- Review all marketing materials to ensure compliance with SEC rules and regulations in the US and internationally
- Collaborate to oversee the cybersecurity program alongside IT
- Supervise new hire and periodic employee compliance trainings firm wide
- Remain current on industry rules and regulatory requirements and adjust the compliance program as necessary
Qualifications
- Bachelor’s degree and at least 7 years of relevant compliance experience
- Thorough knowledge and understanding of industry rules and requirements
- Significant experience SEC rules and regulations
- Ability and willingness to communicate and work as part of a diverse team
- Strong, proactive, hands-on work ethic and ability to work in a demanding environment
Compensation: $250k – $450k all in (will depend on experience)