Chief Compliance Officer CCO - Private Funds and Private Equity

Job Summary

A company is looking for a Chief Compliance Officer (CCO) with expertise in private funds and private equity.

Key Responsibilities:

• Implement and oversee the compliance program for an SEC registered investment advisor to private funds
• Provide guidance on regulatory matters, including SEC compliance and 1940 Act compliance
• Review and update marketing materials, conduct due diligence processes, and participate in committee meetings

Required Qualifications:

• 5 years of experience with a SEC registered investment advisor or regulator in financial services and securities regulation
• Knowledge and experience of SEC laws, industry practice, and policies relating to investment advisors, including the Investment Advisor Act of 1940
• Financial services experience
• Ability to work effectively in teams and independently, with excellent communication and organizational skills
• Experience in overseeing activities contracted to third-parties and participating in SEC examinations or investigations