Job Description

A privately held investment management firm is seeking a hands-on Chief Compliance Officer to lead and administer its compliance program. This is an opportunity for an experienced CCO or Deputy CCO to assume full ownership of the compliance function and serve as a trusted adviser to senior leadership. The CCO will oversee the firm’s regulatory compliance program while remaining actively involved in its day-to-day execution. The successful candidate will work closely with investment, trading, operations, distribution, finance, and senior leadership while managing outside counsel and third-party compliance resources. Key Responsibilities Lead and continuously enhance the firm’s compliance program under Rule 206(4)-7. Maintain the compliance manual, Code of Ethics, personal trading program, employee certifications, and compliance training. Conduct and document the annual compliance review, monitor regulatory developments, and implement necessary program enhancements. Oversee regulatory filings and disclosures, including Form ADV, and manage SEC examinations and regulatory inquiries. Review marketing materials, performance information, RFP responses, and other communications for compliance. Monitor portfolio management, trading, client guidelines, conflicts of interest, books and records, privacy, and cybersecurity compliance. Manage outside counsel and third-party compliance testing providers, including findings and remediation. Investigate and elevate potential violations and provide clear compliance reporting to senior leadership and applicable governing bodies. Qualifications Bachelor’s degree in business, finance, law, regulatory compliance, or a related field. Approximately 10 or more years of progressively responsible compliance experience within an investment manager, registered investment adviser, wealth manager, hedge fund, or related financial‑services organization. Experience serving as a CCO, Deputy CCO, senior compliance officer, or comparable compliance leader. Strong knowledge of the Investment Advisers Act of 1940 and other securities laws and regulations applicable to investment managers and registered investment products. Experience supporting separately managed accounts, institutional clients, subadvisory relationships, registered funds, or comparable asset‑management products. Demonstrated ability to independently manage a compliance function within a lean organization while overseeing outside counsel and third‑party resources. Experience with SEC examinations, regulatory filings, compliance testing, remediation, and senior‑management reporting. Strong judgment, integrity, executive presence, and the confidence to identify and challenge potential compliance issues. Excellent communication, organizational, and relationship‑management skills. Juris Doctor and experience practicing within an investment‑management or securities‑law environment are strongly preferred but not required. IACCP or another relevant compliance designation is a plus. #J-18808-Ljbffr

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