Chief Compliance Officer CCO - Private Funds and Private Equity

Location: Remote
Compensation: To Be Discussed
Staff Reviewed: Fri, Feb 09, 2024
This job expires in: 10 days

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

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