Chief Compliance Officer

A company is looking for a Chief Compliance Officer.

Key Responsibilities

Design, implement, and maintain compliance policies and procedures to prevent violations of the Advisers Act

Oversee regulatory filings, ensuring timely and accurate submissions to the SEC and state regulators

Manage the firm's anti-money laundering (AML) and know-your-customer (KYC) programs

Required Qualifications

Minimum of 5-10 years of compliance, legal, or regulatory experience in the investment management industry

Deep knowledge of the Investment Advisers Act of 1940 and relevant SEC rules and regulations

Experience in designing and administering compliance programs for SEC-registered investment advisers

Bachelor's degree required; Juris Doctor (JD) or advanced degree preferred

Prior experience as a Chief Compliance Officer or senior compliance officer at an SEC-registered investment adviser is a plus