Compliance Officer

Job Description

Job Description

Role Overview :

Insight Global is seeking to hire an experienced and detail-oriented Deputy Chief Compliance Officer for a global investment firm focused in the fintech space.

The Deputy CCO is to support the Chief Compliance & Legal Officer in overseeing and managing the firm’s compliance program in accordance with the rules and regulations of the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). The Deputy CCO will play a key role in ensuring that the fund's operations comply with applicable federal securities laws, internal policies, and industry best practices. The Deputy CCO will have direct responsibility for day-to-day compliance functions and will be instrumental in integrating technology into compliance processes to increase efficiency, accuracy, and reporting capability.

ROLE DETAILS :

• Assist the Chief Compliance & Legal Officer in managing and executing the firm’s compliance program under the Investment Advisers Act of 1940 and applicable FINRA rules.
• Monitor and interpret regulatory developments affecting private funds, broker-dealers, and investment advisers.
• Conduct periodic compliance testing, risk assessments, and forensic reviews to identify potential gaps or deficiencies.
• Assist in the development and implementation of compliance policies, procedures, and controls.
• Lead training sessions for employees on key compliance topics including Code of Ethics, AML, insider trading, and cybersecurity.
• Implement, manage, and optimize compliance technology platforms to automate surveillance, reporting, and testing workflows.
• Evaluate and integrate new compliance software solutions to improve oversight and reduce manual processes.
• Review and help prepare regulatory filings such as Form ADV, Form PF and Form U4 / U5.
• Assist with regulatory exams and inquiries from the SEC, FINRA, and other regulatory bodies.
• Partner with Business Development and Finance and other departments to ensure firm-wide compliance.
• Act as a deputy to the Chief Compliance & Legal Officer, assuming leadership responsibilities in their absence.

REQUIRED SKILLS AND EXPERIENCE

NICE TO HAVE SKILLS AND EXPERIENCE

COMPENSATION : $110k - $145k. Exact compensation may vary based on several factors, including skills, experience, and education. Benefit packages for this role will start on the 31st day of employment and include medical, dental, and vision insurance, as well as HSA, FSA, and DCFSA account options, and 401k retirement account access with employer matching. Employees in this role are also entitled to paid sick leave and / or other paid time off as provided by applicable law.