Chief Compliance Officer

Job Summary

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