Chief Compliance Officer

Chief Compliance Officer Overview

• Lead the compliance function at a dynamic investment advisory firm, ensuring adherence to regulatory standards and fostering a culture of integrity.
• Oversee an established compliance program with a global presence, supporting offices in Europe, Asia, and the US.
• Collaborate with senior management to align compliance strategies with organizational goals and regulatory requirements.
• Provide leadership to a dedicated compliance team, ensuring consistent practices across jurisdictions.
• Develop and refine compliance policies to address evolving business activities and regulatory landscapes.
• Promote awareness and understanding of compliance obligations through training and education programs.
• Drive initiatives to enhance processes, controls, and the overall compliance infrastructure.
• Ensure the firm's compliance framework aligns with international standards and local requirements.

Chief Compliance Officer Key Responsibilities & Duties

• Lead the firm's compliance program, maintaining and enhancing policies addressing investment strategies and regulatory obligations.
• Monitor regulatory changes affecting the investment advisory industry and update policies accordingly.
• Oversee regulatory filings, disclosures, and interactions with regulatory bodies such as the SEC.
• Conduct compliance risk assessments and audits, identifying vulnerabilities and implementing corrective actions.
• Manage material non-public information (MNPI) and trading controls across investment strategies.
• Advise senior management on compliance matters, providing pragmatic guidance and fostering collaboration.
• Coordinate compliance activities across international offices, ensuring consistent practices and local adherence.
• Develop and deliver global compliance training programs to promote understanding of obligations and expectations.
• Chair the Compliance Committee, overseeing the program's effectiveness and promoting ethical conduct.

Chief Compliance Officer Job Requirements

• Bachelor’s degree in a relevant field; JD with bar admission is advantageous.
• Minimum 8 years of compliance experience in investment advisory or financial services; 20 years preferred.
• Proven leadership experience in compliance roles, with multi-jurisdictional oversight preferred.
• In-depth knowledge of SEC regulations and the Investment Advisers Act of 1940.
• Strong analytical, organizational, and communication skills, with attention to detail and ability to prioritize.
• Ability to foster a culture of accountability and integrity within the compliance team.
• Experience with compliance considerations across public and private investment strategies.
• Capability to develop and deliver compliance training programs globally.
• Proactive, strategic, and solution-oriented approach with high integrity and professionalism.