Chief Compliance Officer

Chief Compliance Officer Overview

• The Chief Compliance Officer (CCO) will lead the compliance program for a global investment advisory firm.
• Ensure adherence to regulatory requirements across jurisdictions, including SEC regulations and international standards.
• Collaborate with senior management to foster a culture of compliance and integrity.
• Manage a team of compliance professionals, providing leadership and development opportunities.
• Oversee compliance considerations across public and private investment strategies, including high-risk MNPI matters.
• Develop training programs to promote awareness of compliance obligations globally.
• Coordinate compliance activities across multiple international offices to ensure consistent standards.
• Drive the evolution of the compliance framework to align with the firm's growth and regulatory changes.

Chief Compliance Officer Key Responsibilities & Duties

• Lead and enhance the firm's established compliance program, ensuring alignment with regulatory requirements.
• Monitor regulatory changes and update policies and procedures accordingly.
• Serve as the primary point of contact for SEC examinations and regulatory interactions.
• Conduct compliance risk assessments and implement corrective action plans as needed.
• Oversee MNPI, trading controls, and sensitive information matters across investment strategies.
• Advise senior management on compliance matters, providing pragmatic and independent guidance.
• Ensure consistent compliance practices across international offices, addressing local requirements.
• Chair the firm's Compliance Committee, promoting cross-functional visibility and ethical conduct.

Chief Compliance Officer Job Requirements

• Bachelor of Science (BS) degree required; JD with bar admission is a plus.
• Minimum 8 years of compliance experience within investment advisory or financial services.
• Preferred 20 years of experience, including leadership roles in compliance.
• In-depth knowledge of SEC regulations and the Investment Advisers Act of 1940.
• Strong understanding of international compliance standards, especially in Europe and Asia.
• Proven ability to lead and develop compliance teams effectively.
• Experience with biotechnology or life sciences investments is advantageous.
• Excellent analytical, organizational, and communication skills with a proactive approach.