Chief Compliance Officer (CCO)
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Chief Compliance Officer (CCO)
About the Role
Remote (anywhere in New York)
The Company is in search of a U.S. Chief Compliance Officer to spearhead the enhancement of its compliance framework across the region. The successful candidate will be responsible for providing strategic compliance oversight, ensuring the firm's regulatory obligations are met, and fostering a culture of compliance and integrity. This leadership role involves close collaboration with senior business leaders, global compliance functions, and various domestic and international teams. Key responsibilities include managing a small compliance team, overseeing compliance programs across multiple investment strategies, and partnering with executive leadership to provide compliance guidance. The role also requires experience in managing regulatory examinations, compliance monitoring programs, and training initiatives, as well as a strong knowledge of U.S. investment adviser regulations and broader regulatory requirements for asset managers. Applicants for the Chief Compliance Officer position at the company should have a minimum of 10 years' compliance experience within a global or international investment management organization, with a focus on private markets, public equities, and fixed income. The role demands a proven track record in leading and developing compliance teams, excellent communication and relationship-building skills, and the ability to operate in a fast-paced, complex, and highly regulated investment environment. A Bachelor's degree is required, with an advanced degree being preferred, and a legal background or qualifications are advantageous. Experience in FINRA compliance and exposure to broker-dealer regulatory requirements are also considered a plus. The ideal candidate will be a trusted advisor to key stakeholders, capable of influencing business strategy, and will work to ensure the highest standards of governance, risk management, and regulatory excellence are upheld.
Functions:
- Finance
Compensation
USD $250,000-$300,000 (salary) per year
About the Company
A leading global investment management firm with a diversified multi-asset investment platform
Industry
Financial Services
Type
Privately Held
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